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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 110 Topic 12 Discussion

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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 110 Topic 12 Discussion

SIE Exam Topic 12 Question 110 Discussion:
Question #: 110
Topic #: 12

Under FINRA rules, If a customer sells shares In an Investment company that Includes a contingent deferred sales charge (CDSC) on redemptions, in which of the following ways must the deferred sales charge be reported to the customer?
A.

In writing, at the time of redemption

B.

On the trade confirmation

C.

On the broker-dealer ' s website

D.

On the customer ' s account statement

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Actual exam question for FINRA SIE exam by Zyra1358 at Jun 20, 2026, 11:31:04 PM

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