Series 66: Exercise

Taken from our Series 66 Online Guide

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Exercise

Answer broker-dealer or Not a broker-dealer

1. _____ James is an employee of Securities-R-Us, a broker-dealer firm. He helps clients effect transactions.
2. _____The city of Raleigh, North Carolina, issues municipal securities, which it sells to the general public.
3. _____ ABC is a firm that specializes in selling securities from its own account to retail clients.
4. _____ ABC Mutual Funds is a firm that specializes in sponsoring mutual funds and selling the fund shares to i

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