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FINRA Series 7

Category - Series 7

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Provisions of SEC Rule 145 normally apply to an exchange of one security for another as a result of:

a stock split
a change in par value
a merger
a “no-sale” ruling issued by the SEC

Explanation

Answer: C - a merger. Rule 145 basically applies to mergers, consolidations, and acquisitions.

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FINRA Series 7

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FINRA Series 7

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