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FINRA Series 7

Category - Series 7

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Municipal bond brokers generally conduct the following:

trade for dealer banks
trade for non-bank dealers
trade for their own account
both A and B

Explanation

Answer: D - both A and B. Brokers generally operate as agents attempting to locate buyers or sellers for bond dealers. They do not trade for their own accounts or deal directly with individual investors.

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FINRA Series 7

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FINRA Series 7

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