Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

325 Questions

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Question No. 1

GoForBroke Broker-Dealers has distributed a list of ten mutual funds that it suggests are top-notch funds worthy of recommendation by GoForBroke’s agents. Coincidentally, all the funds on this list also happen to be those that execute the majority of their trades through GoForBroke.

Is GoForBroke in violation of any FINRA rules?
Choose the correct option from the given list.
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