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

Question # 4

Broker-dealers are required to retain records for:

Options:

A.

3 years, first 2 easily accessible

B.

5 years, first 2 easily accessible

C.

7 years, all records electronically

D.

1 year, hard copy only

Viewing question 4 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