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Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

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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  • 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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