Series 79: Chapter 6 Practice Question Answers

Taken from our Series 79 Top-off Online Guide

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Chapter 6 Practice Question Answers

1. Answer: B. The underwriting spread—the difference between the public offering price and the price at which the issuer will sell shares to underwriters—is typically specified in the underwriting agreement, which is an agreement between the issuer and the lead underwriter.
2. Answer: D. Rule 101 of Regulation M prohibits a participant in the distribution of a security from purchasing the security during the “restricted period.” “Actively traded securities”—securities with an average d

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