Not only that you can pass the exam and gain the according Series63 Exam Simulator certification but also you can learn a lot of knowledage and skills on the subjest. Comfortable life will demoralize and paralyze you one day. So you must involve yourself in meaningful experience to motivate yourself. If you choose Omgzlook, but don't pass the exam, we will 100% refund full of your cost to you. Omgzlook also provide you with a free update service for one year. In no time, you will surpass other colleagues and gain more opportunities to promote.
Uniform Securities State Law Series63 So you can take a best preparation for the exam.
Every detail of our Series63 - Uniform Securities Agent State Law Examination Exam Simulator exam guide is going through professional evaluation and test. Omgzlook's training tool has strong pertinence, which can help you save a lot of valuable time and energy to pass IT certification exam. Our exercises and answers and are very close true examination questions.
Our Series63 Exam Simulator study materials absolutely can add more pleasure to your life. You just need a chance to walk out. You can click to see the comments of the Series63 Exam Simulator exam braindumps and how we changed their life by helping them get the Series63 Exam Simulator certification.
FINRA Series63 Exam Simulator - It will help us to pass the exam successfully.
What is your reason for wanting to be certified with Series63 Exam Simulator? I believe you must want to get more opportunities. As long as you use Series63 Exam Simulator learning materials and get a Series63 Exam Simulator certificate, you will certainly be appreciated by the leaders. As you can imagine that you can get a promotion sooner or latter, not only on the salary but also on the position, so what are you waiting for? Just come and buy our Series63 Exam Simulator study braindumps.
We are committed to your success. Omgzlook's FINRA Series63 Exam Simulator exam training materials is the best training materials.
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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: 5
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.
Based on the credibility in this industry, our Huawei H13-211_V3.0 study braindumps have occupied a relatively larger market share and stable sources of customers. Microsoft PL-500 - Then, you need to upgrade and develop yourself. As long as you study with our CompTIA PT0-002 exam questions for 20 to 30 hours, you will pass the exam for sure. Huawei H11-851_V4.0 - Whatever exam you choose to take, Omgzlook training dumps will be very helpful to you. Moreover our EMC D-RP-DY-A-24 test guides provide customers with supplement service-mock test, which can totally inspire them to study hard and check for defects during their learning process.
Updated: May 26, 2022