Challenge Your Exam Readiness With Our Free Series 66 License Practice Questions

Question # 1

Under the USA, which is TRUE about registration of broker-dealers?

Options:

A.

They must register with the SEC only

B.

They must register at both the federal and state level unless exempt

C.

They are exempt if they sell only exempt securities

D.

They can avoid registration by disclosing conflicts

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Series 66 License Overview

Name Series 66 License
Code Series 66 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 66 License Questions