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FINRA Series 63 (NASAA)

Category - Series 63

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Which of the following may be given to prospective investors during the “cooling off period?”

a tombstone advertisement
a final prospectus
a copy of the registration statement
all of the above

Explanation

Answer: A - During the “cooling off period” prospective investors may be given only a tombstone advertisement for the security.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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