Series 7 - General Securities Representative Exam

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Regulation SHO Rule 200(g) requires that a broker-dealer must mark all sell orders of any equity security as all of the following EXCEPT

Long
A
Long Exempt
B
Short
C
Short Exempt
D

Explanations

The rule requires that a broker-dealer must mark all sell orders of any equity security as “long,” “short” or “short exempt”

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