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FINRA Series 7

Category - Series 7

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Which of the following would not normally be a function of an investment banker?

providing short-term capital needs to client companies
underwriting new issues of securities
providing long-term capital needs to client companies
assisting in large secondary offerings of securities

Explanation

Answer: A - providing short-term capital needs to client companies. The short-term capital needs of companies are normally the function of commercial bankers, not investment bankers.

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FINRA Series 7

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FINRA Series 7

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