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

Question # 57

If an operations professional observes a supervisor falsifying financial statements, what is the ethical obligation?

Options:

A.

Report internally to compliance or escalate further if unresolved

B.

Do nothing unless instructed otherwise

C.

Assist the supervisor to protect the firm’s image

D.

Wait until regulators investigate

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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