By passing the exams multiple times on practice test software, you will be able to pass the real Series63 Torrent test in the first attempt. With our Series63 Torrent practice test software, you can simply assess yourself by going through the Series63 Torrent practice tests. We highly recommend going through the Series63 Torrent answers multiple times so you can assess your preparation for the Series63 Torrent exam. Besides, you will enjoy the money refund policy in case of failure. The Series63 Torrent study material provided by Omgzlook can make you enjoy a boost up in your career and help you get the Series63 Torrent certification easily. To make sure your situation of passing the certificate efficiently, our Series63 Torrent study materials are compiled by first-rank experts.
Our Series63 Torrent free demo is available for all of you.
First of all, our Series63 - Uniform Securities Agent State Law Examination Torrent study dumps cover all related tests about computers. Our website always trying to bring great convenience to our candidates who are going to attend the Series63 Dumps PDF practice test. You can practice our Series63 Dumps PDF dumps demo in any electronic equipment with our online test engine.
In order to provide the most effective Series63 Torrent exam materials which cover all of the current events for our customers, a group of experts in our company always keep an close eye on the changes of the Series63 Torrent exam, and then will compile all of the new key points as well as the latest types of exam questions into the new version of our Series63 Torrent training engine. Do not lose the wonderful chance to advance with times. Just come and have a try on our Series63 Torrent study questions!
FINRA Series63 Torrent - This version is software.
We guarantee that after purchasing our Series63 Torrent exam torrent, we will deliver the product to you as soon as possible within ten minutes. So you don’t need to wait for a long time and worry about the delivery time or any delay. We will transfer our Uniform Securities Agent State Law Examination prep torrent to you online immediately, and this service is also the reason why our Series63 Torrent test braindumps can win people’s heart and mind. Therefore, you are able to get hang of the essential points in a shorter time compared to those who are not willing to use our Series63 Torrent exam torrent.
With the help of our Series63 Torrent dumps collection, all level of candidates can grasp the key content of the real exam and solve the difficulty of Series63 Torrent real questions easily. The most important is that our test engine enables you practice Series63 Torrent exam pdf on the exact pattern of the actual exam.
Series63 PDF DEMO:
QUESTION NO: 1
A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of
A. fraud.
B. churning.
C. unauthorized transactions.
D. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
Answer: D
Explanation: A broker-dealer of commodity futures contracts is guilty of nothing under the Uniform
Securities Act since a commodity futures contract is not a security as defined by the USA. The broker-dealer may, however, find himself in trouble with the Commodity Futures Trading
Commission,
which is the regulatory agency of the futures market.
QUESTION NO: 2
An investment adviser or its representative may
A. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C. exercise discretionary power in the purchase or sale of securities for a client's account as long as
D. exercise discretionary power in the purchase or sale of securities for a client's account only after
Answer: B
Explanation: An investment adviser or its representative may exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority
over the account within 10 business days of the first transaction placed, assuming oral authority has already been given.
QUESTION NO: 3
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: 4
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: 5
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.
Passing a Oracle 1z0-1085-24 exam to get a certificate will help you to look for a better job and get a higher salary. When you are preparing EC-COUNCIL EC0-349 practice exam, it is necessary to grasp the overall knowledge points of real exam by using the latest EC-COUNCIL EC0-349 pass guide. Mercenary men lust for wealth, our company offer high quality Network Appliance NS0-701 practice engine rather than focusing on mercenary motives. SAP C_THR81_2405 - Actually, learning also can become a pleasant process. EMC D-PSC-DS-23 - And they are the masterpieces of processional expertise these area with reasonable prices.
Updated: May 26, 2022