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

Question # 8

If an employee manipulates records to make it appear that a late trade was executed on time, this is most accurately classified as:

Options:

A.

Backdating

B.

Front running

C.

Misallocation

D.

Omnibus reporting

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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