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In a best efforts distribution of a new non-exempt issue, a broker/dealer:

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In a best efforts distribution of a new non-exempt issue, a broker/dealer:

A.

may allow a selling concession to a bank or trust company

B.

agrees to buy the issue at a specified price

C.

is not required to use an offering circular or prospectus

D.

acts as an agent for the issuer

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FINRA Series-7 Summary

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