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FINRA Series 63 (NASAA)

Category - Series 63

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An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients’ accounts for the clients.

I only.
I and II only.
I and III only.
I, II, and III.

Explanation

Answer: C - An investment adviser provides investment advice to clients and may also buy and sell securities in their clients’ accounts for the clients. He does not, however, sell securities to his clients.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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