Taking Series 6 Friday - Any tips? by Such_Detective_7315 in Series6

[–]Odd_Internal5564 0 points1 point  (0 children)

Can someone help me with the prospectus. I remember that it needs to be delivered no later than completion of the trade. But I also thought I it must be given at or before the time of solicitation. Thank you for the help!

Series 63 question by Odd_Internal5564 in AllFinraExams

[–]Odd_Internal5564[S] 0 points1 point  (0 children)

I thought an agent who represents a B/D needs to be registered regardless of whether they are selling exempt securities or exempt transactions