Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

Match the 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

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