Series 6 - Investment Company And Variable Contracts Products Representative Exam

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Which FINRA rule requires an associated person to obtain the prior written consent of her employer before opening an account at another member or financial institution?

Rule 2110
A
Rule 2310
B
Rule 3210
C
Rule 3120
D

Explanations

Rule 3210 requires an associated person to obtain prior written consent from his or her employer when opening an account at another financial institution.

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