Series 63 mastery - Study guides, Class notes & Summaries

A person applying for an initial registration as an agent might be asked to provide all of the following except A) citizenship information. B) employment history. C) a consent to service of process. D) fingerprints. - ANSWER D. Fingerprints Unlike FINRA, the USA does not require fingerprints for new registrants. Form U4 lists employment history and many other personal details. LO 2.g

All of the following are included in the definition of person under the Uniform Securities Act EXCEPT a deceased individual an unincorporated association a political subdivision the custodian for a minor - ANSWER a deceased individual A minor, but not the custodian, a deceased individual, and an individual whom the court has deemed incompetent are not persons under the USA. Natural persons and legal entities are persons under the USA. 1.1

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agent - ANSWER An individual who represents a broker/dealer or an issuer when selling or trying to sell securities to the investing public. This individual is considered an _____ whether he or she actually receives or simply solicits orders. Also known as "registered representatives." Two types of agents - ANSWER An individual who represents a broker dealer in effecting or attempting to effect securities transactions (an entrepreneur selling stock in his own company to raise capital