VREB Regulations and Standards of Conduct Flashcards by Mike McCollum | Brainscape

Q

Trouble:

Improper

A

Disclosures

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Q

Trouble:

Failure to provide VREB with requested

A

Record

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Q

Trouble:

Unworthiness and

A

Incompetence

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Q

Trouble:

Conflicts of

A

Interest

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Q

Trouble:

Improper brokerage

A

Commissions

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Q

Trouble:

Improper

A

dealing

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Q

Trouble:

Misrepresentation and

A

omissions

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Q

Trouble:

Improper delivery of

A

instruments.

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