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Question # 40

Which rule prohibits representatives from making exaggerated or misleading claims in advertising?

Options:

A.

Regulation T

B.

FINRA Rule 2210

C.

Regulation S-P

D.

Securities Act of 1933

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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