If you still worry about your Series63 Discount exam; if you still doubt whether it is worthy of purchasing our software, what you can do to clarify your doubts is to download our Series63 Discount free demo. Once you have checked our demo, you will find the study materials we provide are what you want most. Our target is to reduce your pressure and improve your learning efficiency from preparing for Series63 Discount exam. This certification exam can also help you tap into many new avenues and opportunities. This is really worth the price, the value it creates is far greater than the price. Our Series63 Discount exam software is developed by our IT elite through analyzing real Series63 Discount exam content for years, and there are three version including PDF version, online version and software version for you to choose.
FINRA Series63 Discount exam is very popular in IT field.
If you want to know our Series63 - Uniform Securities Agent State Law Examination Discount test questions materials, you can download our free demo now. Have you learned Omgzlook FINRA Series63 Reliable Test Sims exam dumps? Why do the people that have used Omgzlook dumps sing its praises? Do you really want to try it whether it have that so effective? Hurry to click Omgzlook to download our certification training materials. Every question provides you with demo and if you think our exam dumps are good, you can immediately purchase it.
Excellent FINRA Series63 Discount study guide make candidates have clear studying direction to prepare for your test high efficiently without wasting too much extra time and energy. Do you feel bored about current jobs and current life? Go and come to obtain a useful certificate! Series63 Discount study guide is the best product to help you achieve your goal.
FINRA Series63 Discount - Never feel sorry to invest yourself.
Our experts offer help by diligently working on the content of Series63 Discount learning questions more and more accurate. Being an exam candidate in this area, we believe after passing the exam by the help of our Series63 Discount practice materials, you will only learn a lot from this Series63 Discount exam but can handle many problems emerging in a long run. You can much more benefited form our Series63 Discount study guide. Don't hesitate, it is worthy to purchase!
To choose us is to choose success! It is an incredible opportunity among all candidates fighting for the desirable exam outcome to have our Series63 Discount practice materials.
Series63 PDF DEMO:
QUESTION NO: 1
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
A. I, II and III
B. I only
C. I and II only
D. I and III only
Answer: A
Explanation: When selling shares in a closed-end investment company, an agent must inform the client of
any commissions, underwriting fees, or miscellaneous other offering expenses involved.
QUESTION NO: 2
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
A. I, II, and III
B. I and II only
C. II and III only
D. I and III only
Answer: C
Explanation: Only Selections II and III are true. A limited power-of-attorney gives the designated person
the right to obtain account statements, including tax statements, on behalf of the account holder and to
order the purchase of an asset for the account holder's account. Only a full (or unlimited) power-of-attorney allows the designated person to withdraw any proceeds from the account.
QUESTION NO: 3
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?
A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the American Stock Exchange
C. a stock that is listed on the OTC Bulletin Board
D. a put option on a stock that sells in the over-the-counter market
Answer: C
Explanation: A stock that is listed on the OTC Bulletin Board would not be exempt from state registration
unless it already happens to be registered under the Uniform Securities Act. Variable annuities and stocks
listed on the American Stock Exchange are classified as federal covered securities by the NSMIA of
1996
and are exempt from state registration. An amendment to the Securities and Exchange Act of 1934 exempts option contracts from state registration.
QUESTION NO: 4
Which of the following would be an unsuitable recommendation for your 68-year-old client?
A. a Treasury Inflation Protected Security (TIPS)
B. a deferred annuity
C. an S&P 500 Index mutual fund
D. a high quality corporate bond fund
Answer: B
Explanation: A deferred annuity would be an unsuitable recommendation for your 68-year-old client.
These annuities charge significant penalties for early withdrawals-and "early" can mean before 10 years,
or even longer. A 68-year-old client may have the need to withdraw his money early to make medical payments.
QUESTION NO: 5
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 3 years in prison, a $5,000 fine, or both
C. up to 5 years in prison and a fine of $1,500,000 or both
D. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
Answer: A
Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times the
amount of profits gained, or losses avoided.
The HP HP2-I73 prep torrent we provide will cost you less time and energy. There is a large range of CompTIA CS0-003 certifications that can help you improve your professional worth and make your dreams come true. Although the pass rate of our Microsoft SC-300 study materials can be said to be the best compared with that of other exam tests, our experts all are never satisfied with the current results because they know the truth that only through steady progress can our Microsoft SC-300 preparation braindumps win a place in the field of exam question making forever. If you use the quiz prep, you can use our latest SAP C-TS414-2023 exam torrent in anywhere and anytime. Many competitors simulate and strive to emulate our standard, but our IBM C1000-065 training branindumps outstrip others in many aspects, so it is incumbent on us to offer help.
Updated: May 26, 2022