Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

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Exercise

Check all the following that are prohibited by FINRA.

1. _____ A trader enters matched buy and sell orders in the hope of raising the price due to increased trading volume.
2. _____ A representative shares an account with his sister.
3. _____ A publicly traded company chooses not to release nonpublic information to the public after a leak has occurred.
4. _____ An employee of a publicly traded

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