Finra Exam Series-7 Topic 3 Question 112 Discussion

Actual exam question for Finra's Series-7 exam

Question #: 112
Topic #: 3

[All Series-7 Questions]

A 5% markup policy applies to:

Ariskless transactions

Bprimary distributions

Cregistered secondaries

Dmutual funds

Show Suggested Answer

Suggested Answer: A

riskless transactions. The markup policy applies to everything except securities sold under a prospectus, which is the case with the other choices.

by Jina at Jun 11, 2025, 02:43 AM

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2 days ago

Definitely C. Registered secondaries are the way to go for a 5% markup.

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8 days ago

I think the answer is B. Primary distributions make the most sense for a 5% markup policy.

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2 days ago

I agree, primary distributions seem like the best fit for a 5% markup policy.

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8 days ago

I think the 5% markup policy applies to primary distributions.

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