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Question # 37

Which of the following transactions is exempt?

Options:

A.

A non-issuer trade between two retail investors

B.

A new issue of corporate bonds sold through broker-dealers

C.

Preferred stock issued by a private corporation

D.

A multi-state public offering of common stock

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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