Series 63: Special Subscription Form

Taken from our Series 63 Online Guide

Special Subscription Form

The Administrator may require that securities registered by qualification or coordination be sold using a specific form called a subscription or sale contract form. The Administrator may also require that a signed form of each contract be filed with the Administrator and retained up to three years.

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Jonathan Livi, Uber Capital Group, Great Neck, NY

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Seth Schader, CCO, Mercer Island, WA