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Securities Series 63 Licensing Exam Practice Question for April 30th


Under the Uniform Securities Act, the Administrator may deny or revoke a registration if an agent

I. submits an incomplete application.
II. willfully violates a provision of the Uniform Securities Act.
III. has no prior sales experience.
IV. was convicted of a non-securities-related misdemeanor four years ago in another state. That crime, however, is a felony in this state.

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Series 63 Prep
Question: 14
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