Omgzlook is a website which is able to speed up your passing the FINRA certification Series63 Exam Simulator Fee exams. Our FINRA certification Series63 Exam Simulator Fee 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 Simulator Fee exams, please choose Omgzlook's latest FINRA certification Series63 Exam Simulator Fee exam question bank, and it will brings you a lot of help. We sincerely hope that you can achieve your dream in the near future by the Series63 Exam Simulator Fee latest questions of our company. There are a lot of experts and professors in or company in the field. Omgzlook provide a good after-sales service for all customers.
Uniform Securities State Law Series63 The rate of return will be very obvious for you.
Uniform Securities State Law Series63 Exam Simulator Fee - Uniform Securities Agent State Law Examination It can help you pass the exam successfully. In fact, our Series63 New Study Questions Sheet exam questions have helped tens of thousands of our customers successfully achieve their certification. The moment you choose to go with our Series63 New Study Questions Sheet study materials, your dream will be more clearly presented to you.
So you have to seize this opportunity of Omgzlook. Only with it can you show your skills. Omgzlook FINRA Series63 Exam Simulator Fee exam training materials is the most effective way to pass the certification exam.
FINRA Series63 Exam Simulator Fee - You can really try it we will never let you down!
As a IT worker sometime you may know you will take advantage of new technology more quickly by farming out computer operations, we prefer to strengthen own strong points. Our Series63 Exam Simulator Fee test braindump materials is popular based on that too. As we all know the passing rate for IT exams is low, the wise choice for candidates will select valid Series63 Exam Simulator Fee test braindump materials to make you pass exam surely and fast. Professional handles professional affairs.
Then you can start learning our Series63 Exam Simulator Fee exam questions in preparation for the exam. After years of hard work, our Series63 Exam Simulator Fee guide training can take the leading position in the market.
Series63 PDF DEMO:
QUESTION NO: 1
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.
QUESTION NO: 2
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: 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
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: 5
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.
The intelligence of the Juniper JN0-105 test engine has inspired the enthusiastic for the study. Network Appliance NS0-I01 - Only firm people will reach the other side. No need to doubt and worry, thousands of candidates choose our exam training materials, you shouldn't miss this high pass-rate Cisco 820-605 training PDF materials. Our effort in building the content of our IIA IIA-CHAL-QISA learning questions lead to the development of learning guide and strengthen their perfection. We provide our customers with the most reliable learning materials about Cisco 350-401 certification exam and the guarantee of pass.
Updated: May 26, 2022