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Exam Series 63 All Questions

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Exam Series 63 topic 1 question 97 discussion

Actual exam question from FINRA's Series 63
Question #: 97
Topic #: 1
[All Series 63 Questions]

Which of the following entities are subject to post-registration provisions?

I. broker-dealers -

II. agents -

III. investment advisers -
IV. investment adviser representatives

  • A. I and II only
  • B. I and III only
  • C. II and IV only
  • D. All of the entities are subject to post-registration provisions.
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Suggested Answer: B 🗳️
Only selections I and III are subject to post-registration provisions. Broker-dealers and investment advisers can be required to file advertising materials and financial reports with the Administrator, as specified by the Administrator. They are also required to keep records to the specifications of the
Administrator. These records will include items such as client e-mails, client letters of complaint, and advertising brochures and must be kept for three years.
by lolojepu at April 6, 2025, 1:42 a.m.

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