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Exam Series-7 All Questions
Exam Series-7 All Questions

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FINRA General Securities Representative Series-7 Question # 97 Topic 10 Discussion

Series-7 Exam Topic 10 Question 97 Discussion:
Question #: 97
Topic #: 10

Bubba has been classified as a restricted person according to Rule 2790. He may purchase equity securities of an IPO except:


A.

to purchase securities to avoid dilution


B.

when the new issue of securities is purchased pursuant to a stand-by agreement


C.

when the transaction is exempt by an order of the FINRA


D.

when the new issue of securities is purchased pursuant to a best effort basis


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