Our Series63 Exam Pdf preparation exam is compiled specially for it with all contents like exam questions and answers from the real Series63 Exam Pdf exam. If you make up your mind of our Series63 Exam Pdf exam prep, we will serve many benefits like failing the first time attached with full refund service, protecting your interests against any kinds of loss. In a word, you have nothing to worry about with our Series63 Exam Pdf study guide. When applying for the jobs your resumes will be browsed for many times and paid high attention to. The odds to succeed in the job interview will increase. We respect your needs toward the useful Series63 Exam Pdfpractice materials by recommending our Series63 Exam Pdf guide preparations for you.
Uniform Securities State Law Series63 Now IT industry is more and more competitive.
Just come to buy our Series63 - Uniform Securities Agent State Law Examination Exam Pdf learning guide and you will love it. If you are still struggling to prepare for passing Pass4Sure Series63 Pass Guide certification exam, at this moment Omgzlook can help you solve problem. Omgzlook can provide you training materials with good quality to help you pass the exam, then you will become a good FINRA Pass4Sure Series63 Pass Guide certification member.
Free demos are understandable and part of the Series63 Exam Pdf exam materials as well as the newest information for your practice. And because that our Series63 Exam Pdf study guide has three versions: the PDF, Software and APP online. So accordingly, we offer three versions of free demos for you to download.
FINRA Series63 Exam Pdf - Most companies think highly of this character.
Nowadays, our learning methods become more and more convenient. Advances in technology allow us to learn freely on mobile devices. However, we understand that some candidates are still more accustomed to the paper, so our Series63 Exam Pdf study materials provide customers with a variety of versions to facilitate your learning process: the PDF, Software and APP online. These three versions of our Series63 Exam Pdf practice engine can provide you study on all conditions. Come and buy our Series63 Exam Pdf exam guide!
We provide one year studying assist service and one year free updates downloading of FINRA Series63 Exam Pdf exam questions. If you fail exam we support to exchange and full refund.
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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
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: 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.
And you can free download the demos of our ServiceNow CIS-VR learning guide on our website, it is easy, fast and convenient. Most IT workers prefer to choose our online test engine for their CompTIA N10-009 exam prep because online version is more flexible and convenient. And all of the PDF version, online engine and windows software of the Network Appliance NS0-014 study guide will be tested for many times. We guarantee that our Microsoft AZ-140 exam prep is cost-efficient and affordable for most candidates who want to get certification quickly in their first try. SAP C-ARCIG-2404 - It is important to review the questions you always choose mistakenly.
Updated: May 26, 2022