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Exam Series 7 topic 1 question 326 discussion

Actual exam question from FINRA's Series 7
Question #: 326
Topic #: 1
[All Series 7 Questions]

In which of the following situations may exemption from compliance with Regulation T be granted?

  • A. a broker/dealer who does not offer margin accounts
  • B. a broker/dealer conducts business only in registered securities
  • C. a broker/dealer transacting less than 10% of its business through a member of a securities exchange
  • D. none of the above
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Suggested Answer: D 🗳️
none of the above. No broker/dealer is exempt. Reg T covers cash accounts as well as margin accounts.
by lolojepu at April 6, 2025, 2:18 a.m.

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