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Series-63 Practice Questions

Uniform Securities State Law Examination Exam Practice Test


Total 51 Pages
Total 251 Questions

Series-63 Practice Questions

Question# 1

The Uniform Securities Act (USA) is
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Question# 2

Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
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Question# 3

Which of the following securities would not necessarily be exempt from state registration?
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Question# 4

Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
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Question# 5

Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he
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