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Finra Exam Series-63 Topic 2 Question 7 Discussion
Actual exam question for
Finra's
Series-63 exam
Question #: 7
Topic #: 2
[All Series-63 Questions]
Topic #: 2
Which of the following entities is subject to be accused of churning?
I . investment advisers
II . investment adviser representatives
III . broker-dealers
IV . agents
Suggested Answer:
D
The firm will be expected to provide all of the above-sales and advertising materials to be used in the offering, the agreement between the issuing firm and its underwriters, and the agreement among the underwriters themselves.
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