Exceptions for bd agents Study guides, Class notes & Summaries
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Series 63 || very Flawless.
- Exam (elaborations) • 40 pages • 2024
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Exceptions for BD Agents correct answers The only exceptions that apply to a person working for a BD effecting securities transactions is in reference to WHO they sell to: 
 
1.) Non-Resident Customer (30 day) 
 
 -RR can continue to service customer even if he is not registered as an agent in the state in which the customer is temporarily located. 
 -Time frame is 30 days or less 
 
 
2.) New Resident Customer (60 day) 
 
 -RR is not considered an agent in customers new state for a period of 60...
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Series 63 – (Went from Chapter 1 to Chapter 5 and made flash cards for around 90-95% of the material included in the Series 63 RegEd book/binder) You're welcome.
- Exam (elaborations) • 39 pages • 2023
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Series 63 – (Went from Chapter 1 to Chapter 5 and made flash cards for around 90-95% of the material included in the Series 63 RegEd book/binder) You're welcome.
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