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

Question # 14

Which type of transaction is exempt from registration under the USA?

Options:

A.

Any security sold to the general public

B.

Isolated non-issuer transactions

C.

All securities sold through broker-dealers

D.

Any transaction involving corporate bonds

Viewing question 14 out of 69 questions
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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