10 free Series 26 practice questions in the real exam format, covering the official content areas, with an explanation for every answer.
Series 26 Practice Test 1Tutor mode
Question 1 of 10
Supervises Associated Persons and Oversees Sales Practices
Brendan Hollis, a representative of Cedar Run Financial, gives his OSJ principal written notice that he wants to introduce several clients to a real estate limited partnership offered by an unaffiliated sponsor, for a 3% finder's fee paid by the sponsor. Under FINRA rules, what must the principal do?