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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
4 months ago
I think the firm will be expected to provide all of the above to the Administrator.
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Salley
4 months ago
I believe the agreement among the underwriters themselves is also important to provide.
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Glendora
4 months 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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Broderick
3 months ago
Thaddeus: The firm is expected to provide all sales materials, agreements, and more to the Administrator.
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Thaddeus
3 months ago
User 2: Really? I didn't know that. I thought it was just between the firm and the underwriters.
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Onita
3 months ago
User 1: Yes, the Administrator is involved in the registration process.
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Zoila
4 months ago
I agree with Justine. The agreement between the issuing firm and the underwriters seems more relevant.
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Gerri
4 months 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
4 months ago
I think the firm would not be expected to provide all sales and advertising materials.
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Selma
4 months 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
3 months 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
4 months ago
C) the agreement among the underwriters themselves.
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Vernell
4 months ago
B) the agreement between the issuing firm and the underwriters.
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Ronny
4 months ago
A) all sales and advertising materials that will be used in conjunction with the offering.
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Dolores
5 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
4 months ago
B) the agreement between the issuing firm and the underwriters.
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Torie
4 months ago
A) all sales and advertising materials that will be used in conjunction with the offering.
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