FINRA-Administered-Qualification-Examination-(FINRA).pdf - Financial FINRA FINRA Administered Qualification Examination

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FINRA Financial FINRA Administered Qualification Examination
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D. Investment performance being inconsistent with the expectations provided by the investment advisor Answer: B QUESTION: 39 What occurs when parties engage in matching purchases? A. A significant increase in outstanding shares B. An artificial increase in the market value of a security C. Small shareholders realize capital losses D. The parties pay a lower commission Answer: B QUESTION: 40 Under what circumstances may a registered agent represent multiple registered broker-dealers? A. With written permission from the broker-dealers B. When the broker-dealers are affiliated with each other C. With written permission from the SEC D. With written permission from FINRA Answer: B QUESTION: 41 Which is not part of the criteria in the Investment Company Act of 1940 requirement for an investment fund to be considered a mutual fund?
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  • Fall '20
  • D. Investment performance

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