Which of the following is NOT a requirement for Series 63 Practice Exam registration as a broker-dealer under the Uniform Securities Act? a. Filing a registration application b. Paying a registration fee c. Passing a qualifying exam d. Submitting a financial statement
Answer: c. Passing a qualifying exam
Under state securities laws, which of the following is considered an exempt transaction? a. A private placement to accredited investors b. A public Series 63 Practice Exam offering of securities to the general public c. An offer made through a general solicitation d. A transaction involving an unregistered security