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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 1 discussion

Actual exam question from FINRA's Series 6
Question #: 1
Topic #: 1
[All Series 6 Questions]

Which of the following statements about the over-the-counter market is true?

  • A. Only penny stocks are traded in the over-the-counter market.
  • B. Trades in the over-the-counter market are conducted via the auction process.
  • C. Only bonds and other debt instruments are traded in the over-the-counter market.
  • D. Stocks that are listed on exchange floors are also traded in the over-the-counter market.
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Suggested Answer: D 🗳️
Stocks that are listed on exchange floors are also traded in the over-the-counter market. The term "third market" refers to over-the-counter trading of listed stocks. All types of securities-stocks, bonds, options, warrants, rights-trade over the counter. The over-the-counter market is a negotiated market, not an auction market.
by tacihosi at April 5, 2025, 5:47 p.m.

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