Some customers might worry that passing the exam is a time-consuming process. Now our Series63 Exam Objectives actual test guide can make you the whole relax down, with all the troubles left behind. Involving all types of questions in accordance with the real exam content, our Series63 Exam Objectives exam questions are compiled to meet all of your requirements. The prerequisite for obtaining the Series63 Exam Objectives certification is to pass the exam, but not everyone has the ability to pass it at one time. But our Series63 Exam Objectives exam questions will help you pass the exam by just one go for we have the pass rate high as 98% to 100%. There are many benefits after you pass the Series63 Exam Objectives certification such as you can enter in the big company and double your wage.
Uniform Securities State Law Series63 We are keeping advancing with you.
Omgzlook can help you 100% pass FINRA certification Series63 - Uniform Securities Agent State Law Examination Exam Objectives exam, and if you carelessly fail to pass FINRA certification Series63 - Uniform Securities Agent State Law Examination Exam Objectives exam, we will guarantee a full refund for you. It is well known that even the best people fail sometimes, not to mention the ordinary people. In face of the Series63 Free Study Material exam, everyone stands on the same starting line, and those who are not excellent enough must do more.
Omgzlook is a website which can help you quickly pass FINRA certification Series63 Exam Objectives exams. In order to pass FINRA certification Series63 Exam Objectives exam, many people who attend FINRA certification Series63 Exam Objectives exam have spent a lot of time and effort, or spend a lot of money to participate in the cram school. Omgzlook is able to let you need to spend less time, money and effort to prepare for FINRA certification Series63 Exam Objectives exam, which will offer you a targeted training.
FINRA Series63 Exam Objectives - In this, you can check its quality for yourself.
In order to meet the request of current real test, the technology team of research on Omgzlook FINRA Series63 Exam Objectives exam materials is always update the questions and answers in time. We always accept feedbacks from users, and take many of the good recommendations, resulting in a perfect Omgzlook FINRA Series63 Exam Objectives exam materials. This allows Omgzlook to always have the materials of highest quality.
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 Exam Objectives exam.
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 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.
Cisco CCST-Networking - Omgzlook can escort you to pass the IT exam. Have you ever tried our IT exam certification software provided by our Omgzlook? If you have, you will use our SAP C_S4CFI_2402 exam software with no doubt. Nutanix NCP-CI-Azure - Our strength will make you incredible. SAP C_THR70_2404 - We try our best to ensure 100% pass rate for you. SAP C_S43_2022 - The opportunity always belongs to a person who has the preparation.
Updated: May 26, 2022