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FINRA Series 7

Category - Series 7

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Which of the information below does not appear in the official notice of sale?

the type of bond
the amount of required good faith check
the names of underwriting syndicate members
the method and place of settlement

Explanation

Answer: C - the names of the underwriting syndicate members. At the time the notice of sale is published, the syndicate has generally not been formed. All the other information is required.

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FINRA Series 7

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FINRA Series 7

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