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Question # 52

Under the Uniform Securities Act, which of the following is an exempt transaction?

Options:

A.

Solicited sale of a non-exempt corporate bond to a retail client

B.

Unsolicited sale of a non-exempt security to a retail client

C.

Public offering of shares through an underwriter

D.

Sale of securities to more than 50 non-institutional investors

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Series 65 License Overview

Name Series 65 License
Code Series 65 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 65 License Questions