Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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A broker-dealer cannot legally be
  1. a partnership.
  2. an individual.
  3. a sole-proprietorship.
  4. A broker-dealer can be any of the above.
Explanation
Answer: D - A broker-dealer can be a partnership, an individual, or a sole-proprietorship under the guidelines of the Uniform Security Act.
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