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

Question # 52

A registered operations professional overhears another employee discussing MNPI with friends at a social event. The most appropriate response is:

Options:

A.

Ignore unless the employee trades on it

B.

Report the incident to compliance immediately

C.

Confront the employee privately but take no further action

D.

Wait until regulators request information

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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