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Question # 12

Which of the following offerings would be exempt from state registration?

Options:

A.

A new issue of corporate bonds sold to the public

B.

Securities issued by a nonprofit religious organization

C.

Stock issued by a start-up local corporation to residents of the state

D.

Convertible preferred shares issued by a foreign private company

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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