Series 14 Practice Questions - Compliance Official Qualification Examination Exam

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A Compliance Officer discovers that a registered representative has been recommending complex options strategies to customers without having passed the Series 7 exam. What is the MOST appropriate immediate action?

Issue a written warning and require the representative to obtain the Series 7 within 30 days Immediately prohibit the representative from engaging in options-related activities Allow the representative to continue pending completion of the Series 7 Report the representative to FINRA but take no immediate action

Correct Answer:

Immediately prohibit the representative from engaging in options-related activities

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