Series 26: Exercise

Taken from our Series 26 Online Guide

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Exercise

Match the Following Approval Requirements with Each Action

A. Firm must be notified but no approval needed
B. Firm must be notified and written approval must be received
1. ___ An associated person wishes to borrow from a customer who he has a personal relationship with outside of the broker-customer relationship.
2. ___ A fidelity broker wants to sell a New York Life variable annuity and receive a commissio

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