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FINRA Series 7

Category - Series 7

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Which of the following is not found in the final prospectus?

a statement as to possible stabilization by the manager
the public offering price
a copy of the underwriting agreement
a statement that the SEC neither approves nor disapproves of the issue

Explanation

Answer: C - a copy of the underwriting agreement. The underwriting agreement is “not” in the final prospectus. This is a contract between the issuer and the underwriting syndicate.

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