Series 63: Exercise

Taken from our Series 63 Online Guide

Exercise

Choose BROKER-DEALER or NOT A BROKER-DEALER

1. _____ James is an employee of Securities-R-Us, a broker-dealer firm. He helps clients effect transactions.

2. _____ The city of Raleigh, North Carolina, issues municipal securities, which it sells to the general public.

3. _____ ABC is a firm that specializes in selling securities from its ow

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