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Exam Series 7 All Questions

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Exam Series 7 topic 1 question 137 discussion

Actual exam question from FINRA's Series 7
Question #: 137
Topic #: 1
[All Series 7 Questions]

Provisions of SEC Rule 145 normally apply to an exchange of one security for another as a result of:

  • A. a stock split
  • B. a change in par value
  • C. a merger
  • D. a "no-sale" ruling issued by the SEC
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Suggested Answer: C 🗳️
a merger. Rule 145 basically applies to mergers, consolidations, and acquisitions.
by lolojepu at April 6, 2025, 2:03 a.m.

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