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Finra Series-7 Exam - Topic 4 Question 122 Discussion

Actual exam question for Finra's Series-7 exam
Question #: 122
Topic #: 4
[All Series-7 Questions]

To accommodate a customer's order to buy an over-the-counter stock, a broker/dealer is permitted to:

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Suggested Answer: D

all of the above. All of the choices are normal ways for the broker to fill the customer's order.


by Larue at Mar 04, 2026, 05:50 AM

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Lyda
15 days ago
Wait, can they really sell short to the customer? That seems risky.
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Domonique
20 days ago
I think D) all of the above makes sense!
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Anthony
25 days ago
A) sell him shares from the firm's inventory is correct.
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Audry
1 month ago
I’m not so sure about C, seems a bit off.
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Leatha
1 month ago
Totally agree with D, it covers all bases.
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Vi
1 month ago
Wait, can they really sell short to the customer? Sounds risky!
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Andrew
2 months ago
Definitely A) sell from inventory.
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Janna
2 months ago
I think the answer is D) all of the above.
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Katy
2 months ago
I think the answer might be D, all of the above, but I need to double-check the rules on short selling in this context.
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Linsey
2 months ago
I feel like all of the options could be correct in different scenarios, but I can't recall the specifics for selling short to the customer.
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Lovetta
2 months ago
I remember a practice question where we discussed the roles of brokers and dealers. I think option C is definitely correct, but I’m unsure about the others.
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Lauryn
2 months ago
I think the broker can sell shares from the firm's inventory, but I'm not sure if they can also act as an agent in this case.
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