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Exam Series 63 All Questions

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Exam Series 63 topic 1 question 44 discussion

Actual exam question from FINRA's Series 63
Question #: 44
Topic #: 1
[All Series 63 Questions]

Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

  • A. a copy of the firm's articles of incorporation and bylaws, or the equivalent
  • B. copies of the underwriter agreements
  • C. a copy of any indenture applying to the security being registered
  • D. All of the above documents must be included when filing to register a security with the state.
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Suggested Answer: D 🗳️
The Uniform Securities Act specifies that the initial registration statement should be accompanied by all of the documents listed in the first three selections-a copy of the firm's articles of incorporation and bylaws or their equivalent; copies of any underwriter agreements; and a copy of any indenture that applies to the security being registered. Moreover, these are only some of the documents that need to be included.
by lolojepu at April 6, 2025, 1:37 a.m.

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