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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 # 103 Topic 11 Discussion

Series-7 Exam Topic 11 Question 103 Discussion:
Question #: 103
Topic #: 11

The FINRA markup policy requires that over-the-counter transactions with a customer be at:


A.

prices reasonably related to the current market price of the security


B.

a markup not to exceed 5% of the current offering price


C.

prices reasonably related to the dealer’s cost


D.

a markup based on previous activity in the customer’s account


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