Challenge Your Exam Readiness With Our Free Series 99 License Practice Questions

Question # 42

Which of the following would be considered an improper use of customer funds?

Options:

A.

Depositing customer checks into a designated customer account

B.

Placing customer funds in a firm’s operating account

C.

Segregating fully paid securities in possession and control

D.

Forwarding funds to a clearing firm

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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