Series 63 practice questionmediumRegistration Application Information
Which of the following is required on an agent’s application for registration under the USA?
- AEmployment history for the past 5 years
- BA list of all securities to be sold by the agent
- CA list of all business and residential addresses for the past 5 years✓ Correct answer
- DA list of all customers the agent intends to solicit
Explanation
Why C — A list of all business and residential addresses for the past 5 years
The application requires employment history for the past 10 years and residential and business addresses for the past 5 years (USA Section 406(a) and Form U4). Option C is incomplete as addresses alone are insufficient. Options B and D are incorrect.
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