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

Question # 66

If an employee engages in “selling away,” they are:

Options:

A.

Conducting securities transactions outside firm supervision

B.

Reporting trades through TRACE

C.

Participating in firm-approved trading activities

D.

Executing margin trades for customers

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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