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FINRA Investment Company and Variable Contracts Products Representative Qualification Examination (IR)
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Question #8
#8
Multiple Choice
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Which of the following is not a characteristic of all auction stock exchanges in the U.S.?
A.
There is a central marketplace.
B.
Stocks that are traded on the exchange must meet certain listing requirements, determined by the exchange.
C.
In order to conduct a trade on the exchange, a broker must be a member of the exchange or hold a license to trade on the exchange.
D.
If a stock is listed on one of these exchanges, it is not permitted to be listed on any other exchange.
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Exam SERIES-6 Topic 1 Question 8
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