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

Question # 73

If an operations professional discovers a colleague shredding original trade confirmations before retention requirements expire, the behavior constitutes:

Options:

A.

Fraudulent concealment and books-and-records violation

B.

Permissible behavior if backed up electronically

C.

Proper disposal of obsolete materials

D.

Allowed if a supervisor approves

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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