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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 108 Topic 11 Discussion

FINRA Securities Industry Essentials Exam (SIE) SIE Question # 108 Topic 11 Discussion

SIE Exam Topic 11 Question 108 Discussion:
Question #: 108
Topic #: 11

Which of the following responses accurately describes a secondary market transaction?


A.

Buying open-end mutual fund shares


B.

Buying securities directly from the issuing company


C.

Buying securities on a registered securities exchange


D.

Buying securities in a private placement from a broker-dealer


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