Challenge Your Exam Readiness With Our Free Series 63 License Practice Questions

Question # 10

A broker-dealer must register with the Administrator if it:

Options:

A.

Has no place of business in a state but deals exclusively with institutional investors

B.

Has a physical office in the state, even if it only serves out-of-state clients

C.

Deals only with U.S. government securities and has no office in the state

D.

Is registered with the SEC and only transacts on national exchanges

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Series 63 License Overview

Name Series 63 License
Code Series 63 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 63 License Questions