Green light 1 Questions & 100% Correct Answers- Latest Test | Graded A+ | Passe
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Course
Green light
Institution
Green Light
A 529A or ABLE account is permitted for which of the following persons ?
A person who is receiving retirement benefits
A person who has a significant disability
A person who is a minor
A person who is saving for college
-:- A person who has a significant disability
A registered represent...
Green light 1 Questions & 100% Correct
Answers- Latest Test | Graded A+ | Passed
A 529A or ABLE account is permitted for which of the following persons ?
A person who is receiving retirement benefits
A person who has a significant disability
A person who is a minor
A person who is saving for college
✓ -:- A person who has a significant disability
A registered representative has recently passed the Series 7 Examination . If the RR
conducts business in five states , she is required to:
✓ -:- In writing by a member of the senior management
If a registered representative terminates employment with a member firm , the jurisdiction
of FINRA :
Remains effective for two years following termination
Remains effective for five days following termination
Terminates upon the representative's resignation
Remains effective for 30 days following termination
✓ -:- Remains effective for two years following termination
Broker - dealers are prohibited from which of the following activities ?
Advertising on television
4|Page | Grade A+| 2024/2025
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