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

Question # 46

Under the USA, civil liabilities may be imposed when:

Options:

A.

A person sells an unregistered, non-exempt security

B.

A client loses money on a registered security

C.

A security drops in value after accurate disclosure

D.

A broker-dealer fails to make a profit guarantee

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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