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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 # 117 Topic 12 Discussion

Series-7 Exam Topic 12 Question 117 Discussion:
Question #: 117
Topic #: 12

Securities may be sold under SEC rule 144 provided that the following conditions are met:


A.

the company files regular financial data with the SEC


B.

they are sold in agency transactions only


C.

they are sold in principal transactions only


D.

both A and B


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