Series 7 - General Securities Representative Exam

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Regulation SHO is an SEC rule that contains rules that pertains to

Shorting bonds
A
Short term interest rate product sales practices
B
Selling short equity securities
C
Selling a mutual fund in a retirement account and buying a new one on the same day
D

Explanations

Regulation SHO is aimed at preventing unethical naked short selling practices in equity securities

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