Practice Quiz

FINRA Series 63 (NASAA)

Category - Series 63

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Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?
  1. all sales and advertising materials that will be used in conjunction with the offering.
  2. the agreement between the issuing firm and the underwriters
  3. the agreement among the underwriters themselves
  4. The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
Explanation
Answer: D - The firm will be expected to provide all of the above-sales and advertising materials to be used in the offering, the agreement between the issuing firm and its underwriters, and the agreement among the underwriters themselves.
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