Series 63: Exercise

Taken from our Series 63 Online Guide

Exercise

Choose exempt or non-exempt

1. _____ Foreign government bonds

2. _____ Bank certificates of deposit (CDs)

3. _____ Shares of a fund that contains only securities issued by nonprofit companies

4. _____ An offer directed only to institutional investors

5. _____ An offering for which the issuer sells $1,100,000 in securities to all purchasers, the largest securities purchase by a single investor is $1,500, and for which sales are conducted through a funding portal.

Answers

1. Exempt. Securities issued or guaranteed by a foreign government are generally exempt.

2. Exempt. Securities issued or guaranteed by a U.S. bank, such as ban

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