Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
Under FINRA's fair dealing rules, which of the following may not be traded on a short term basis; as such activity may raise the question of rule violation?
Bonds and Options
A
Bonds, Options and Mutual Funds
B
Stocks, Bonds, Options and Mutual Funds
C
Mutual Funds
D
Explanations
Under the fair dealing rules, the only type of securities that may not be traded on a short-term basis are mutual funds.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
-
- Series 6
- 30 of 500
-
- Series 7
- 50 of 625