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

Question # 7

An IAR distributes materials omitting key fees. This is:

Options:

A.

Acceptable if fees are small

B.

Misleading and prohibited

C.

Permitted with disclosure to the Administrator

D.

Allowed for institutional investors 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