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Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities,...

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Before an affiliate of an issuer is permitted to sell 10,000 shares of restricted securities, which of the following conditions must be met?

A.

The affiliate must have a holding period of six months.

B.

The company must be traded on a listed stock exchange.

C.

The issuer must notify FINRA of the proposed sale by submitting a Form 144.

D.

The shares to be sold must be less than 10% of the average daily trading volume (ADTV) of the security.

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  • Vendor: FINRA
  • Product: SIE
  • Update on: Jan 2, 2026
  • Questions: 188
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TESTED 02 Jan 2026