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FINRA Uniform Securities State Law Examination
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Question #3
#3
Multiple Choice
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Which of the following securities would not necessarily be exempt from state registration?
A.
a stock listed on the Tokyo Stock Exchange
B.
a bond guaranteed by the Canadian government
C.
a bond issued by another state's employees' credit union
D.
a stock listed as a NASDAQ National Market Issue.
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Exam SERIES-63 Topic 1 Question 3
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