Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?
  1. one year
  2. two years
  3. five years
  4. seven years
Explanation
Answer: C - Once an issuer has registered securities with the state, the documentation supplied in that registration statement can be incorporated into the registration statement for future securities the issuer wants to offer for sale by reference only for a period of five years.
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