Series 65: Exercise

Taken from our Series 65 Online Guide


Please choose State A, State B, or both.

1. _____ John works for a broker-dealer. He has an office in State A. He has no office in State B, and he has 5 institutional clients and 2 retail clients there. In which state or states should he be registered?

2. _____ Steve, who has an office in State A, has a client named Brenda. He has worked with Brenda for five years, and she is currently on vacation in State B when Steve effects a transaction for her. In which state or states should Steve be registered?

3. _____ Quinne is an agent with an office in State A, where she sells only exempt Treasury securities. She also has 10 institutional investors in State B. In which state o

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