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

Question # 72

If an operations professional knowingly ignores customer complaints, this violates:

Options:

A.

FINRA Rule 4511

B.

FINRA’s ethical standards requiring complaint documentation and escalation

C.

SEC Regulation SHO

D.

SIPC bylaws

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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