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Under which of the following circumstances, if any, is a registered representative (RR) permitted to...

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Under which of the following circumstances, if any, is a registered representative (RR) permitted to share in the profits and losses of security interests that the RR has purchased jointly with a customer?

A.

Only when the customer is an accredited investor

B.

Only if the RR’s firm is also a participant in the sharing arrangement

C.

When the profits and losses are proportionate to the amount contributed by the RR

D.

Under no circumstances

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  • Update on: Jan 2, 2026
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TESTED 02 Jan 2026