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Finra Exam Series-63 Topic 2 Question 7 Discussion

Actual exam question for Finra's Series-63 exam
Question #: 7
Topic #: 2
[All Series-63 Questions]

Which of the following entities is subject to be accused of churning?

I . investment advisers

II . investment adviser representatives

III . broker-dealers

IV . agents

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Suggested Answer: D

The firm will be expected to provide all of the above-sales and advertising materials to be used in the offering, the agreement between the issuing firm and its underwriters, and the agreement among the underwriters themselves.


by Veronika at Mar 24, 2025, 12:02 PM

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Reid
4 days ago
Wow, I didn't realize agents could also be accused of churning. This is a tricky question!
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Gretchen
7 days ago
Broker-dealers and investment advisers are the most likely to be accused of churning, so I think option B is the correct answer.
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Long
14 days ago
Why do you think that?
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Oretha
16 days ago
I disagree, I believe the answer is A) II and IV only.
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Long
17 days ago
I think the answer is C) II, III, and IV only.
upvoted 0 times
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