Exam (elaborations)
Series 63 - Practice Exam Questions and Answers 2023 Solved 100% Correct
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An existing customer of a broker-dealer registered in State A is vacationing in State B. Can the broker-dealer solicit the customer? - ANSWER-The broker-dealer may solicit the customer in State B without registering in State B. If a broker-dealer effects a transaction in a state (unless an exemp...
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