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Official Practice ProblemFINRA Series 7 Blueprint: Function 4
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Question #1096Function 4Fundamental

Sell Stop Orders: Protecting Long Equity Positions

An investor holding 200 shares of ABC purchased at $40 sees the stock rise to $65. To protect his accrued profit against a sudden market selloff, the investor should enter:

Correct Choice: A

To protect a profit on a LONG stock position, the investor enters a SELL STOP order below the current market price.

Complete Analysis & Legal Rationale

To protect a profit on a LONG stock position, the investor enters a SELL STOP order below the current market price. If the stock declines to the stop price ($62), the order triggers and sells the stock at market, locking in most of the gain.

Distractor Autopsy (Why Other Options Are Traps)

FINRA exam writers design incorrect distractors using specific calculation mistakes and regulatory misconceptions. Review why each option succeeds or fails:

Choice ACorrect
Accurate Strategy Selection

Sell stop below market protects unrealized profit on long equity.

Choice BIncorrect
Long vs Short Inversion

Buy stop orders protect short positions, not long positions.

Choice CIncorrect
Immediate Execution Mistake

Sell limits below market ($60) execute immediately at the prevailing $65 market price.

Choice DIncorrect
Premature Liquidation

Market orders execute immediately, terminating the position today.

Regulatory Authority & Citations:
FINRAFINRA Rule 5310Stop Orders for Capital Preservation

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