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Finra Exam Series-63 Topic 5 Question 1 Discussion

Actual exam question for Finra's Series-63 exam
Question #: 1
Topic #: 5
[All Series-63 Questions]

Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

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Suggested Answer: D

The firm will be expected to provide all of the above-sales and advertising materials to be used in the offering, the agreement between the issuing firm and its underwriters, and the agreement among the underwriters themselves.


by Nakita at Mar 07, 2025, 11:27 AM

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Arthur
11 days ago
I think the firm will be expected to provide all of the above to the Administrator.
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Salley
18 days ago
I believe the agreement among the underwriters themselves is also important to provide.
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Glendora
18 days ago
Wait, there's an 'Administrator' involved in this? I thought this was just between the firm and the underwriters. This exam is getting too complicated for my liking.
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Onita
1 days ago
User 1: Yes, the Administrator is involved in the registration process.
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Zoila
19 days ago
I agree with Justine. The agreement between the issuing firm and the underwriters seems more relevant.
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Gerri
23 days ago
Haha, the firm better not try to hide the sales and advertising materials! The Administrator will catch them red-handed. I vote for A.
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Justine
28 days ago
I think the firm would not be expected to provide all sales and advertising materials.
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Selma
28 days ago
D seems like the correct answer. The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
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Stephaine
5 hours ago
D) The firm will be expected to provide all of the above to the Administrator when registering an issue of securities with the state.
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Monte
2 days ago
C) the agreement among the underwriters themselves.
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Vernell
4 days ago
B) the agreement between the issuing firm and the underwriters.
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Ronny
6 days ago
A) all sales and advertising materials that will be used in conjunction with the offering.
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Dolores
1 months ago
I think the answer is B. The firm would not be expected to provide the agreement between the underwriters themselves, since that's an internal matter between the underwriters.
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Niesha
20 days ago
B) the agreement between the issuing firm and the underwriters.
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Torie
26 days ago
A) all sales and advertising materials that will be used in conjunction with the offering.
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