CMFAS RES 1B (Set 1)

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8 Jan 2026

CMFAS RES 1B Exam Question

A Representative must not directly or indirectly deal in securities which involve no change of beneficial ownership unless it is a:

a) swap sale

b) wash sale

c) trade sale

d) time sale

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    Which of the following goods and services qualify as acceptable soft dollar receipts?

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    CMFAS RES 3 Exam Question

    An FMC conducting fund management activity should report which of the following as assets under the FMC’s non-discretionary management?

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