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Free FINRA Series 7 Practice Exams
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Free FINRA Series 7 Practice Exam 13 (130 Questions) with Answers Quiz
1.
How is the sales charge on a fund purchase affected when the investor is a firm employee?
1
The charge must be doubled to avoid a conflict
The employee is prohibited from purchasing the fund
The charge may never be waived for any investor
The fund may waive or reduce it as the prospectus provides
