Exit FINRA-SERIES-63 FINRA Uniform Securities Agent State Law
Question 4 of 5
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Q4 Single choice

Assuming the security is not registered under the Uniform Securities Act, which of the following would not be exempt from state registration?

  • A

    a variable annuity contract offered by an insurance company with offices in the state

  • B

    a stock that is listed on the American Stock Exchange

  • C

    a stock that is listed on the OTC Bulletin Board

  • D

    a put option on a stock that sells in the over-the-counter market

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