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Exam Series 63 All Questions

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Exam Series 63 topic 1 question 237 discussion

Actual exam question from FINRA's Series 63
Question #: 237
Topic #: 1
[All Series 63 Questions]

If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?

  • A. one year
  • B. two years
  • C. five years
  • D. seven years
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Suggested Answer: C 🗳️
Once an issuer has registered securities with the state, the documentation supplied in that registration statement can be incorporated into the registration statement for future securities the issuer wants to offer for sale by reference only for a period of five years.
by lolojepu at April 6, 2025, 1:52 a.m.

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