Free Series 99 License Practice Test Questions

Question # 69

Which of the following is considered “selling away”?

Options:

Executing securities transactions through firm-approved platforms

Engaging in private securities transactions outside firm supervision

Recommending mutual funds approved by the firm

Executing orders promptly for customers

Viewing question 69 out of 75 questions

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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

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