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FINRA Series 63 (NASAA)

Category - Series 63

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Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

a 16-year old cheerleader
a law firm that is organized as a partnership
a corporation
a school district

Explanation

Answer: A - A minor is not considered to be a person, as defined by the Uniform Securities Act. However, partnerships, corporations, and governmental subdivisions, such as school districts, are included in the definition.

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FINRA Series 63 (NASAA)

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