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

Question # 6

Which rule requires firms to segregate customer securities and funds from firm assets?

Options:

A.

SEC Rule 15c3-1

B.

SEC Rule 15c3-3 (Customer Protection Rule)

C.

FINRA Rule 4511

D.

Regulation SHO

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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