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Question # 59

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

Options:

A.

Unsolicited order from a client

B.

Public offering of corporate bonds

C.

Solicited sale of mutual fund shares

D.

Initial public offering of common stock

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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