Series 63: Exercise

Taken from our Series 63 Online Guide

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Exercise

Choose broker-dealer or not a broker-dealer

1. _ James is an employee of Securities-R-Us, a broker-dealer firm. He helps clients effect transactions.
2. _ The city of Raleigh, North Carolina, issues municipal securities, which it sells to the general public.
3. _ ABC is a firm that specializes in selling securities from its own account to retail clients.
4. _ ABC Mutual Funds is a firm that spec

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