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Question # 39

A registered representative makes unauthorized trades in a customer’s account. This action is considered:

Options:

A.

Churning

B.

Discretionary trading with written consent

C.

Unauthorized trading

D.

Selling away

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SIE Overview

Name Securities Industry Essentials (SIE)
Code SIE
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

SIE Questions