Review Topics
Practice Exams
Pretty sure Chewbacca stole my pipes, Little Mermaid-style. Don't pull a Wookiee—make sure all of your work is your own.

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?

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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.


  • 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?