Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by
  1. January 15th of the new year.
  2. January 30th of the new year.
  3. December 31st of this year.
  4. the anniversary date of the original issue date on your license.
Explanation
Answer: C - To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay your filing fee to renew your license by December 31st of this year. Otherwise, your license will expire. There is no grace period.
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