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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

Show Suggested Answer Hide 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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Herschel
2 months ago
This question is as slippery as a greased pig. Better make sure I don't get caught up in any churning shenanigans!
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Gracie
2 months ago
Churning, huh? Sounds like a great workout routine. I'll have to try it out at the gym later.
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Kathryn
2 months ago
I'm going to have to study up on the regulations around churning before this exam. Wouldn't want to get caught churning by mistake!
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Bettina
26 days ago
Make sure to review the regulations carefully before the exam.
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Long
28 days ago
Investment advisers and agents can be accused of churning.
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Izetta
1 months ago
Make sure to review the regulations carefully before the exam.
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Cory
1 months ago
It's important to know the rules to avoid any issues.
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Silva
1 months ago
Investment advisers and broker-dealers can be accused of churning.
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Maile
2 months ago
It's important to know the rules to avoid any issues.
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Reid
3 months ago
Wow, I didn't realize agents could also be accused of churning. This is a tricky question!
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Aide
29 days ago
User 4: I'm not sure, but I think broker-dealers are definitely subject to be accused of churning.
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Samira
1 months ago
User 3: I would go with D) I, II, III, and IV.
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Janine
2 months ago
User 2: I agree, agents can also be accused of churning.
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Krissy
3 months ago
User 1: I think the answer is C) II, III, and IV only.
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Gretchen
3 months ago
Broker-dealers and investment advisers are the most likely to be accused of churning, so I think option B is the correct answer.
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Long
3 months ago
Why do you think that?
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Oretha
3 months ago
I disagree, I believe the answer is A) II and IV only.
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Long
3 months ago
I think the answer is C) II, III, and IV only.
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