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

Question # 47

Which is NOT an exempt transaction for a broker-dealer?

Options:

A.

Transactions with institutional investors

B.

Transactions in exempt securities

C.

Transactions with retail clients when the firm has no office in the state

D.

Transactions with retail clients solicited in the state

Viewing question 47 out of 69 questions
Industry research shows that students who utilize Series 63 License practice tests are significantly more likely to pass exam.


Our free Series 63 License practice questions act as a diagnostic tool to give you a clear snapshot of your Series 63 License readiness. Discover which topics are your strengths and, more importantly, which critical topics require your immediate attention.

Go to Series 63 License Exam Main Page

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