Exempt Security vs Exempt Transaction? Can I sell the Security?#series63 and #Series66

Can I sell a security in a state? The series 63 exam and the series 66 exam will definitely ask you questions on whether a security is allowed to be sold in the state. The biggest question is is it exempt or is it an exempt transaction or does it have to be registered. Back up? The series 66 exam will have about 47% of the test covering registration of Securities and broker-dealers and Investment Advisors did this is a vital part of your series 66 exam study



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