Series 66: Exercise

Taken from our Series 66 Online Guide

Exercise

Match the investment professional to the compensation arrangement.

A. Investment adviser representative

B. Agent

C. Solicitor

1. _____ Fee based on a percentage of assets under management

2. _____ Markup on the price of a security purchased from a client.

3. _____ Commissions received for effecting securities transactions.

4. _____ A flat fee received for providing investm

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