Finra Exam Series-63 Topic 2 Question 7 Discussion

Actual exam question for Finra's Series-63 exam

Question #: 7
Topic #: 2

[All Series-63 Questions]

Which of the following entities is subject to be accused of churning?

I . investment advisers

II . investment adviser representatives

III . broker-dealers

IV . agents

AII and IV only

BI and III only

CII, III, and IV only

DI, II, III, and IV

Show Suggested Answer

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 Veronika at Mar 24, 2025, 12:02 PM

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Long

5 days ago

Why do you think that?

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Oretha

7 days ago

I disagree, I believe the answer is A) II and IV only.

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Long

8 days ago

I think the answer is C) II, III, and IV only.

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