SIE Exam Practice Question 521

Question: 521

As it relates to a member firm conducting business with the public, all of the following are violations, except:

A. Failing to execute a customer's order for a speculative security.

B. Charging a customer a larger than normal commission for executing a specific order.

C. Printing "FINRA" in large type on business cards.

D. Stating that a new issue has been approved for sale by the SEC.