Series 79: Chapter 9 Practice Question Answers

Taken from our Series 79 Top-off Online Guide

Chapter 9 Practice Question Answers

  1. 1. Answer: C. Earnings per share (EPS) is not among the initial or continuing listing requirements for either NYSE or NASDAQ. Number of market makers is an initial and continuing requirement for NASDAQ. Market cap and share price are initial and continuing requirements for both.
  2. 2. Answer: D. Generally, an exchange’s continuing listing requirements are less stringent than its initial list

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