EXAM CODE : Series-63 UPDATION DATE : 2023-03-20 TOTAL QUESTIONS : 251 UPDATES : UPTO 3 MONTHS GUARANTEE : 100% PASSING GUARANTEE
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The Uniform Securities Act (USA) is
A. a body of laws governing the purchase and sale of securities within a single state.
B. a set of guidelines for individual states to follow when formulating their own securities’ laws.
C. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
D. federal legislation that requires all states to adopt the same registration requirements for all
ANSWER : B
Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
A. FINRA
B. NASAA
C. SEC
D. the state administrator
ANSWER : D
Which of the following is not a method that can be used to register securities with the state?
A. registration by exception
B. registration by notification
C. registration by coordination
D. registration by qualification
ANSWER : A
Which of the following securities would not necessarily be exempt from state registration?
A. a stock listed on the Tokyo Stock Exchange
B. a bond guaranteed by the Canadian government
C. a bond issued by another state’s employees’ credit union
D. a stock listed as a NASDAQ National Market Issue.
ANSWER : A
Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is acting as a dealer?
A. HiGrowth Corporation
A. HiGrowth Corporation
C. BigFee Investment Bankers
D. GetErDone Broker-Dealers
ANSWER : C
