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Question # 21

An options account without a signed agreement after 15 days may:

Options:

A.

Only execute closing transactions

B.

Be unrestricted

C.

Be closed immediately

D.

Require FINRA approval

Question # 22

Retail communications with performance data must cover a period of:

Options:

A.

At least 1 year

B.

At least 5 years (if available)

C.

At least 10 years

D.

Unlimited history

Question # 23

A rep tells a client that a mutual fund is “guaranteed never to lose money.” What violation is this?

Options:

A.

Churning

B.

Misrepresentation

C.

Switching

D.

Breakpoint Violation

Question # 24

If a retail communication includes a testimonial, what must also be disclosed?

Options:

A.

Whether the individual is a current client

B.

Any compensation received

C.

FINRA’s approval

D.

Customer account performance

Question # 25

A rep recommends municipal bonds without assessing whether the customer is subject to AMT. What is the issue?

Options:

A.

Breakpoint Violation

B.

Suitability Violation

C.

Insider Trading

D.

Selling Away

Viewing question 5 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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