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REVIEW Series 63 EXAM 2024 /100% PASSED

An existing customer of a broker-dealer registered in State A is vacationing in State B. Can the broker-dealer solicit the customer? - correct 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 exemption is available), the broker-dealer must be registered in that state. One of the exemptions available, however, covers the instance where an existing customer of a registered broker-dealer is...

Series 63 - Practice Exam Questions & Answers, RATED A+ An existing customer of a broker-dealer registered in State A is vacationing in State B. Can the brokerdealer solicit the customer? - -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 exemption is available), the broker-dealer must be registered in that state. One of the exemptions available, however, covers the instance where an e...

QUESTIONS AND ANSWERS

QUESTIONS AND ANSWERS

Series 63 – (Went from Chapter 1 to Chapter 5 and made flash cards for around 90-95% of the material included in the Series 63 RegEd book/binder) You're welcome.

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