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

Question # 32

An IAR with no office in a state has 2 clients there. Registration is:

Options:

A.

Not required under de minimis rule

B.

Required immediately

C.

Required with SEC only

D.

Allowed if approved by Administrator

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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