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

Question # 65

Which transaction is exempt?

Options:

A.

Isolated non-issuer trade between investors

B.

Corporate IPO offered interstate

C.

Common stock of a start-up sold intrastate

D.

Preferred shares sold publicly

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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