Exit FINRA-SERIES-63 FINRA Uniform Securities Agent State Law
Question 5 of 5
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Q5 Single choice

Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

  • A

    a copy of the firm's articles of incorporation and bylaws, or the equivalent

  • B

    copies of the underwriter agreements

  • C

    a copy of any indenture applying to the security being registered

  • D

    All of the above documents must be included when filing to register a security with the state.

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