If you are worry about the coming Series63 Exam Discount exam, our Series63 Exam Discount study materials will help you solve your problem. In order to promise the high quality of our Series63 Exam Discount exam questions, our company has outstanding technical staff, and has perfect service system after sale. More importantly, our good Series63 Exam Discount guide quiz and perfect after sale service are approbated by our local and international customers. Our website is considered to be the most professional platform offering Series63 Exam Discount practice guide, and gives you the best knowledge of the Series63 Exam Discount study materials. Passing the exam has never been so efficient or easy when getting help from our Series63 Exam Discount preparation engine. For we have helped tens of thousands of our customers achieved their dreams.
Uniform Securities State Law Series63 A bold attempt is half success.
We can make sure that all employees in our company have wide experience and advanced technologies in designing the Series63 - Uniform Securities Agent State Law Examination Exam Discount study dump. Using New Series63 Exam Simulator Online real questions will not only help you clear exam with less time and money but also bring you a bright future. We are looking forward to your join.
Our Series63 Exam Discount study materials can have such a high pass rate, and it is the result of step by step that all members uphold the concept of customer first. If you use a trial version of Series63 Exam Discount training prep, you can find that our study materials have such a high passing rate and so many users support it. After using the trial version, we believe that you will be willing to choose Series63 Exam Discount exam questions.
FINRA Series63 Exam Discount study material is suitable for all people.
The free demos of our Series63 Exam Discount study materials show our self-confidence and actual strength about study materials in our company. Besides, our company's website purchase process holds security guarantee, so you needn’t be anxious about download and install our Series63 Exam Discount exam questions. With our company employees sending the link to customers, we ensure the safety of our Series63 Exam Discount guide braindumps that have no virus.
So a wise and diligent person should absorb more knowledge when they are still young. At present, our Series63 Exam Discount study prep has gained wide popularity among different age groups.
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
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: 3
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: 4
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.
QUESTION NO: 5
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.
From the customers’ point of view, our Tableau TDS-C01 test question put all candidates’ demands as the top priority. Microsoft DP-203-KR - They can even broaden amplitude of your horizon in this line. What are you waiting for? As long as you decide to choose our American College of Rheumatology RhMSUS exam questions, you will have an opportunity to prove your abilities, so you can own more opportunities to embrace a better life. Buying a set of the Amazon DOP-C02-KR learning materials is not difficult, but it is difficult to buy one that is suitable for you. SAP C_ABAPD_2309 - Our leading experts aim to provide you the newest information in this field in order to help you to keep pace with the times and fill your knowledge gap.
Updated: May 26, 2022