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Wear layers in case it gets chilly (or toasty) in the testing center. I only get to take off my coat once a year.

Contracts and Compensation for Investment Advisers Drill

Dashboard > Violations > Contracts and Compensation for Investment Advisers > Contracts and Compensation for Investment Advisers Drill
  • 1.

    Sharing in a client's account gains is okay as long as you are:

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    We'll give you the first and last question on this exam. So you know we actually did the whole thing.

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