Omgzlook has put emphasis on providing our Series63 Questions Fee exam questions with high quality products with high passing rate. Many exam candidates are uninformed about the fact that our Series63 Questions Fee preparation materials can help them with higher chance of getting success than others. It is all about efficiency and accuracy. What are you waiting for? Come and buy it now. With the improvement of people’s living standards, there are more and more highly educated people. All intricate points of our Series63 Questions Fee study guide will not be challenging anymore.
Uniform Securities State Law Series63 But even the best people fail sometimes.
And our Series63 - Uniform Securities Agent State Law Examination Questions Fee study braindumps deliver the value of our services. You really need our Latest Series63 Exam Topics Pdf practice materials which can work as the pass guarantee. Nowadays, the certification has been one of the criteria for many companies to recruit employees.
What is more, we offer customer services 24/7. Even if you fail the exams, the customer will be reimbursed for any loss or damage after buying our Series63 Questions Fee guide dump. One decision will automatically lead to another decision, we believe our Series63 Questions Fee guide dump will make you fall in love with our products and become regular buyers.
FINRA Series63 Questions Fee - Just have a try and you will love them!
After the user has purchased our Series63 Questions Fee learning materials, we will discover in the course of use that our product design is extremely scientific and reasonable. Details determine success or failure, so our every detail is strictly controlled. For example, our learning material's Windows Software page is clearly, our Series63 Questions Fee Learning material interface is simple and beautiful. There are no additional ads to disturb the user to use the Series63 Questions Fee learning material. Once you have submitted your practice time, Series63 Questions Fee learning Material system will automatically complete your operation.
If you believe in our products this time, you will enjoy the happiness of success all your life Our Series63 Questions Fee learning quiz is the accumulation of professional knowledge worthy practicing and remembering, so you will not regret choosing our Series63 Questions Fee study guide.
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 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
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
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.
SAP C_THR70_2404 - As we all know, the world does not have two identical leaves. EMC D-MSS-DS-23 - We are welcome you to contact us any time via email or online service. APMG-International AgilePM-Foundation - The strength of our the IT elite team will make you feel incredible. Our Microsoft MB-500 learning guide allows you to study anytime, anywhere. Senior IT experts in the Omgzlook constantly developed a variety of successful programs of passing FINRA certification Netskope NSK300 exam, so the results of their research can 100% guarantee you FINRA certification Netskope NSK300 exam for one time.
Updated: May 26, 2022