Series 65: Exercise

Taken from our Series 65 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 i

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Series 65: Exercise

Taken from our Series 65 Online Guide

Exercise

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