The development of science and technology makes our life more comfortable and convenient, which also brings us more challenges. Many company requests candidates not only have work experiences, but also some professional certifications. Therefore it is necessary to get a professional Series63 Exam Testking certification to pave the way for a better future. According to the survey, the average pass rate of our candidates has reached 99%. High passing rate must be the key factor for choosing, which is also one of the advantages of our Series63 Exam Testking real study dumps. According to the research statistics, we can confidently tell that 99% candidates after using our products have passed the Series63 Exam Testking exam.
But our Series63 Exam Testking exam questions have made it.
If the user finds anything unclear in the Series63 - Uniform Securities Agent State Law Examination Exam Testking exam questions exam, we will send email to fix it, and our team will answer all of your questions related to the Series63 - Uniform Securities Agent State Law Examination Exam Testking actual exam. Every page is carefully arranged by our experts with clear layout and helpful knowledge to remember. Our Series63 Latest Exam Labs exam questions just focus on what is important and help you achieve your goal.
Among all substantial practice materials with similar themes, our Series63 Exam Testking practice materials win a majority of credibility for promising customers who are willing to make progress in this line. With excellent quality at attractive price, our Series63 Exam Testking exam questions get high demand of orders in this fierce market. You can just look at the data about the hot hit on the Series63 Exam Testking study braindumps everyday, and you will know that how popular our Series63 Exam Testking learning guide is.
FINRA Series63 Exam Testking - They compile each answer and question carefully.
Omgzlook is a website which is able to speed up your passing the FINRA certification Series63 Exam Testking exams. Our FINRA certification Series63 Exam Testking exam question bank is produced by Omgzlook's experts's continuously research of outline and previous exam. When you are still struggling to prepare for passing the FINRA certification Series63 Exam Testking exams, please choose Omgzlook's latest FINRA certification Series63 Exam Testking exam question bank, and it will brings you a lot of help.
There are a lot of experts and professors in or company in the field. In order to meet the demands of all people, these excellent experts and professors from our company have been working day and night.
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.
Salesforce Salesforce-Hyperautomation-Specialist - Omgzlook provide a good after-sales service for all customers. If you do not receive our MuleSoft MCD-Level-2 study materials, please contact our online workers. Omgzlook has more than 10 years experience in IT certification Network Appliance NS0-528 exam training, including questions and answers. All popular official tests have been included in our Lpi 102-500 study materials. Salesforce Salesforce-MuleSoft-Developer-I - With Omgzlook, you could throw yourself into the exam preparation completely.
Updated: May 26, 2022