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Series-63 Exam Dumps

Series-63 Exam Dumps

Uniform Securities State Law Examination

Vendor: Oracle

Exam Name: Uniform Securities State Law Examination

Questions with Answers: 251

Last Updated: 11-Apr-2025

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Oracle Series-63 Exam Questions

Uniform Securities State Law Examination exams.

Question
The Uniform Securities Act (USA) is
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Question
Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
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Question
Which of the following securities would not necessarily be exempt from state registration?
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Question
Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
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Question
Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he
Choose the Choices:


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