A good Series63 Real Questions certification must be supported by a good Series63 Real Questions exam practice, which will greatly improve your learning ability and effectiveness. Our study materials have the advantage of short time, high speed and high pass rate. You only take 20 to 30 hours to practice our Series63 Real Questions guide materials and then you can take the exam. You can browse our official websites to check our sales volumes. At the same time, many people pass the exam for the first time under the guidance of our Series63 Real Questions practice exam. They can help you learn efficiently, save your time and energy and let you master the useful information.
Our Series63 Real Questions exam questions are often in short supply.
At this time, you will stand out in the interview among other candidates with the Series63 - Uniform Securities Agent State Law Examination Real Questions certification. Once it is time to submit your exercises, the system of the Reliable Composite Test Series63 preparation exam will automatically finish your operation. After a several time, you will get used to finish your test on time.
Our Series63 Real Questions exam materials are famous among candidates. Once they need to prepare an exam, our Series63 Real Questions study materials are their first choice. As you know, it is troublesome to get the Series63 Real Questionscertificate.
FINRA Series63 Real Questions - But even the best people fail sometimes.
It is not just an easy decision to choose our Series63 Real Questions prep guide, because they may bring tremendous impact on your individuals development. Holding a professional certificate means you have paid more time and effort than your colleagues or messmates in your major, and have experienced more tests before succeed. Our Series63 Real Questions real questions can offer major help this time. And our Series63 Real Questions study braindumps deliver the value of our services. So our Series63 Real Questions real questions may help you generate financial reward in the future and provide more chances to make changes with capital for you and are indicative of a higher quality of life.
You really need our Series63 Real Questions practice materials which can work as the pass guarantee. Nowadays, the certification has been one of the criteria for many companies to recruit employees.
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
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: 4
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: 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.
Esri EJSA_2024 - What is more, we offer customer services 24/7. If you want to be one of them, please allow me to recommend the Cisco 700-245 learning questions from our company to you, the superb quality of Cisco 700-245 exam braindumps we've developed for has successfully helped thousands of candidates to realize their dreams. SAP P-SAPEA-2023 - Through the trial you will have different learning experience, you will find that what we say is not a lie, and you will immediately fall in love with our products. SAP C_THR88_2405 - The only aim of our company is to help each customer pass their exam as well as getting the important certification in a short time. IIA IIA-CIA-Part2 - Just have a try and you will love them!
Updated: May 26, 2022