Halloween Special Limited Time 65% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: ac4s65

Ms.

FINRA Series-63 Full Course Access
FINRA Series-63 View All Questions

Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide information about the some of the fund’s financial aspects, such as its closing net asset value on the previous day.

What type of registration does Ms. Ding require in order to perform her duties?

A.

Ms. Ding needs to apply for registration as an agent since she is providing financial information.

B.

Ms. Ding needs to apply for registration as an investment adviser representative since she is providing information about a specific mutual fund.

C.

Ms. Ding will need to apply for registration as both an agent and an investment adviser representative in this case since she is providing information about a mutual fund.

D.

Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is not engaged in the purchase or sale of the fund shares.

Series-63 PDF/Engine
  • Printable Format
  • Value of Money
  • 100% Pass Assurance
  • Verified Answers
  • Researched by Industry Experts
  • Based on Real Exams Scenarios
  • 100% Real Questions
buy now Series-63 pdf
Get 65% Discount on All Products, Use Coupon: "ac4s65"
Next
In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual...
Your next-door neighbor’s brother works for a large pharmaceutical company and confided in her that...
Previous