FINRA Series 7 General Securities Representative Qualification Examination (GS) Series-7 Question # 108 Topic 11 Discussion

FINRA Series 7 General Securities Representative Qualification Examination (GS) Series-7 Question # 108 Topic 11 Discussion

Series-7 Exam Topic 11 Question 108 Discussion:
Question #: 108
Topic #: 11

To accommodate a customer’s order to buy an over-the-counter stock, a broker/dealer is permitted to:


A.

sell him shares from the firm’s inventory


B.

sell these shares short to the customer


C.

act as agent on this transaction


D.

all of the above


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