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Practice Exams
I'm a great swimmer. Just ask my mom. So buoyant, I don't even need water wings.

How to Not (Financially) Screw Your Clients Drill

  • 1.

    A minority partner at SilverSlacks dies. Does this result in a new assignment of contract for SilverSlacks's clients?

  • Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

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


  • 2.

    To satisfy disclosure regulations, an investment advisory firm may either create a brochure to send to clients and prospects or complete which of the following?

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