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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 51 Topic 6 Discussion

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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 51 Topic 6 Discussion

SIE Exam Topic 6 Question 51 Discussion:
Question #: 51
Topic #: 6

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 Nash25827 at Feb 4, 2026, 12:44:09 PM

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