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Question # 69

Which of the following is NOT exempt from registration?

Options:

A.

Securities issued by the U.S. government

B.

Commercial paper maturing in nine months or less

C.

Securities of a local for-profit corporation offered to residents

D.

Securities issued by a charitable organization

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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