Series 6 - Investment Company And Variable Contracts Products Representative Exam
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In a FINRA member firm, who determines which rules regarding communications with the public apply?
The broker
A
The agent
B
The chief investment officer
C
The principal
D
Explanations
The principal of a FINRA member firm is responsible for determining which rules apply to public communications.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
-
- Series 6
- 30 of 500
-
- Series 7
- 50 of 625