Series 7: Exercise

Exercise

Check all the following that are prohibited by FINRA.

1. 1. _____ A trader enters matched buy and sell orders in the hope of raising the price due to increased trading volume.
2. 2. _____ A representative shares an account with his sister.
3. 3. _____ A publicly traded company chooses not to release nonpublic information to the public after a leak has occurred.
4. 4. _____ An employee of a publicly traded