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

Question # 48

Which rule prohibits borrowing money from a customer unless specific exceptions apply?

Options:

A.

FINRA Rule 3240

B.

SEC Rule 10b-5

C.

Reg SHO

D.

SIPA

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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