Q: 17
Joe Cool is a member of the All Greek Fraternity. A few of the alumni of his fraternity sat for the
FINRA Series 6 exam over the past couple of years and, using their cell phones, took pictures of the
exam questions. They forwarded these to their fraternity to be included in the test bank file the
fraternity keeps in its study room.
Have there been any violations of FINRA/NASD rules in this instance?
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