Finra Exam Series-63 Topic 5 Question 13 Discussion

Actual exam question for Finra's Series-63 exam

Question #: 13
Topic #: 5

[All Series-63 Questions]

The Administrator of a state can deny an application if

Athe application is missing information.

Bthe registrant has been enjoined from engaging in activities involving securities in another state.

Cthe Administrator determines the applicant is not financially solvent.

Dany of the above is true.

Show Suggested Answer

Suggested Answer: D

The Administrator of a state can deny an application if the application is missing information, if the registrant has been enjoined from engaging in activities involving securities in another state, or if the Administrator determines the applicant is not financially solvent.

by Salena at Jul 30, 2025, 09:35 PM

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