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FINRA Series 7

Category - Series 7

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Under which of the following conditions may a registered representative of a firm that is an underwriter of a new offering of common stock send to a client a copy of the firm’s research report on that stock?

if it is accompanied by a red herring
if he has permission of his employer
if his firm is not the managing underwriter
under no circumstances

Explanation

Answer: D - under no circumstances. The representative may send the red herring but not a research report of his firm.

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FINRA Series 7

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