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Question # 41

Which of the following best illustrates “front running”?

Options:

A.

Firm executes a large customer order and reports it to TRACE

B.

Employee trades ahead of a large client order to profit personally

C.

Employee delays trade reporting to regulators

D.

Firm blocks a client order due to lack of margin

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Series 99 License Overview

Name Series 99 License
Code Series 99 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 99 License Questions