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

Question # 25

An agent effects trades for a broker-dealer in a state without being registered there. The trades are:

Options:

A.

Valid but the agent violated the law

B.

Automatically void

C.

Permissible if trades are unsolicited

D.

Allowed under the de minimis rule

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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