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

Question # 44

An employee accepts $50 cash as a gratuity from a vendor. Which is correct?

Options:

A.

Cash gratuities of any amount are prohibited under FINRA rules

B.

Acceptable if under $100

C.

Allowed with supervisor approval

D.

Permissible if reported annually

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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