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Exam Series 63 All Questions

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Exam Series 63 topic 1 question 238 discussion

Actual exam question from FINRA's Series 63
Question #: 238
Topic #: 1
[All Series 63 Questions]

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

  • A. a tombstone advertisement
  • B. a final prospectus
  • C. a copy of the registration statement
  • D. all of the above
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Suggested Answer: A 🗳️
During the "cooling off period" prospective investors may be given only a tombstone advertisement for the security.
by lolojepu at April 6, 2025, 1:52 a.m.

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