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An ERISA benefits plan qualified under Section 401(a) of the Internal Revenue Code may:

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An ERISA benefits plan qualified under Section 401(a) of the Internal Revenue Code may:

A.

purchase any IPO security provided the plan is not sponsored solely by a broker/dealer

B.

apply for an exemption

C.

only purchase securities rated “A” or better

D.

purchase only securities issued by the state or federal government

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FINRA Series-7 Summary

  • Vendor: FINRA
  • Product: Series-7
  • Update on: Jul 25, 2025
  • Questions: 400
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