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Question # 6

Heightened supervision applies to:

Options:

A.

All customers

B.

Reps with past misconduct

C.

Institutional clients

D.

Branch managers only

Question # 7

If a rep is suspended, what must the firm do?

Options:

A.

Report the suspension to FINRA within 30 days

B.

Terminate the rep automatically

C.

Assign a replacement principal

D.

Allow the rep to handle unsolicited trades only

Question # 8

Retail communications must avoid:

Options:

A.

Balanced disclosures

B.

Exaggerated or misleading claims

C.

Prospectus references

D.

Index comparisons

Question # 9

When must firms report disciplinary events to FINRA?

Options:

A.

10 days

B.

15 days

C.

30 days

D.

At year-end

Question # 10

A client refuses to provide financial info but wants to trade actively. What must the firm do?

Options:

A.

Deny all trades

B.

Allow unsolicited trades only

C.

Grant discretionary authority

D.

Report to SEC

Viewing question 2 out of 13 questions


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Series 9/10 License Overview

Name Series 9/10 License
Code Series 9/10 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

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