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FINRA Series 7

Category - Series 7

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Mutual fund salespersons may not represent that a product is like of safer than:

an insurance policy
a fixed annuity
a corporate debt instrument
all of the above

Explanation

Answer: D - all of the above. A broker/dealer must demonstrate that what is said or printed about a product is not fraudulent. Representing a mutual fund as safer than any of the choices above is likely fraudulent.

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