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Question # 11

Which of the following broker-dealers must register in a state?

Options:

A.

Firm with no office and only institutional clients

B.

Firm with an office but only serving out-of-state clients

C.

Bank’s trust department executing transactions

D.

Firm with no office transacting only in exempt securities

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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