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Try a couple of yoga poses before showing up for your exam. Downward facing buffalo, anyone? Mind the tuft.

Unauthorized Transactions Drill

Dashboard > Violations > Unauthorized Transactions > Unauthorized Transactions Drill
  • 1.

    What is the main reason a broker would execute unauthorized transactions in a client's account?

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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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