Series 26 Practice Questions - Investment Company And Variable Contracts Products Principal Exam

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Which of the following individuals would be considered an "associated person" under FINRA rules and therefore require registration?

A clerical employee who only files paperwork and does not discuss securities with clients A receptionist who answers phones and schedules appointments A sales assistant who recommends mutual funds to clients and accepts orders A janitorial contractor who cleans the office after hours

Correct Answer:

A sales assistant who recommends mutual funds to clients and accepts orders

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