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In the distribution of a new issue underwriters or selling group member are prohibited from:

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In the distribution of a new issue underwriters or selling group member are prohibited from:

A.

selling to the public at the so-called public offering price

B.

selling to another broker or dealer who needs to fill an accommodation order

C.

withholding blocks of a new issue in the member’s account

D.

all of the above

FINRA Series-7 View All Questions

FINRA Series-7 Summary

  • Vendor: FINRA
  • Product: Series-7
  • Update on: Jul 25, 2025
  • Questions: 400
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TESTED 02 Aug 2025