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NEW QUESTION: 1
Securities may be sold under SEC rule 144 provided that the following conditions are met:
A. they are sold in principal transactions only
B. the company files regular financial data with the SEC
C. both A and B
D. they are sold in agency transactions only
Answer: B
Explanation:
the company files regular financial data with the SEC. Rule 144 transactions may use either
agency or principal methods.
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