SIE Exam Practice Question 10

Question: 10

Which of the following statements are true with respect to options communications that include historical performance?

A. A Registered Options Principal determines that the records or statistics fairly present the status of the recommendations or transactions reported upon

B. All relevant costs, including commissions, fees, and daily margin obligations, are disclosed and reflected in the performance

C. They must state that the results presented should not and cannot be viewed as an indicator of future performance

D. All of the above

SIE Exam Practice Question 10

More Tests

Quick View

FINRA Practice Tests