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Securities Industry Essentials SIE Exam Version 1 Questions
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Securities Industry Essentials SIE Exam Version 1
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Question 1 of 5
Which of the following factors should be considered when deciding between the appropriateness of a fee-based or commission-based account for an investor?
A.
Risk tolerance
B.
Liquid net worth
C.
The investor's income needs
D.
The investor's fee structure preferences
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