FINRA-SERIES-63 Web TestEngine demo

an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies.

a credit union that operates within the state and provides loans to its members.

an agent who executes the purchase and sale of stocks and bonds for his clientsD.

None of the above entities would be required to register with the state as a broker-dealer under the

guidelines of the Uniform Securities Act.