Series 7: Exercise

Taken from our Series 7 Online Guide

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 company shares information ab

Since you're reading about Series 7: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!