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

Question # 63

Which of the following broker-dealers would be exempt from registering in a state?

Options:

A.

A firm with an office in the state but serving only institutional investors

B.

A firm with no office in the state that deals exclusively with U.S. government securities

C.

A firm soliciting retail clients by mail in the state

D.

A firm with an office in the state transacting with out-of-state clients only

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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