Series 10 Exam Question 12: Answer and Explanation
Question: 12
An office of supervisory jurisdiction may conduct which of the following activities?
I. Final approval of advertising
II. The execution of customer orders
III. Structuring of investment banking
IV. Review of branch offices
- A. I and III
- B. II and IV
- C. I, II, and IV
- D. I, II, III, and IV
Correct Answer: D
Explanation:
An OSJ may do all of the activities listed.
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