but also allows you to pass the exam successfully. So you have no reason not to choose it. IT certification candidates are mostly working people. Our Series63 Reliable Test Sample study materials may become your right man. Perhaps you have heard of our Series63 Reliable Test Sample exam braindumps. Our training materials have through the test of practice.
Uniform Securities State Law Series63 We are committed to your success.
Based on the credibility in this industry, our Series63 - Uniform Securities Agent State Law Examination Reliable Test Sample study braindumps have occupied a relatively larger market share and stable sources of customers. At present, FINRA Series63 Test Tutorial exam is very popular. Do you want to get FINRA Series63 Test Tutorial certificate? If it is ok, don't hesitate to sign up for the exam.
Our Series63 Reliable Test Sample study braindumps are so popular in the market and among the candidates that is because that not only our Series63 Reliable Test Sample learning guide has high quality, but also our Series63 Reliable Test Sample practice quiz is priced reasonably, so we do not overcharge you at all. Meanwhile, our exam materials are demonstrably high effective to help you get the essence of the knowledge which was convoluted. As long as you study with our Series63 Reliable Test Sample exam questions for 20 to 30 hours, you will pass the exam for sure.
FINRA Series63 Reliable Test Sample - Mostly choice is greater than effort.
With the rapid development of the economy, the demands of society on us are getting higher and higher. If you can have Series63 Reliable Test Sample certification, then you will be more competitive in society. Our study materials will help you get the according certification you want to have. Believe me, after using our study materials, you will improve your work efficiency. You will get more opportunities than others, and your dreams may really come true in the near future. Series63 Reliable Test Sample test guide will make you more prominent in the labor market than others, and more opportunities will take the initiative to find you.
Then you can pass the actual test quickly and get certification easily. The Series63 Reliable Test Sample real questions are written and approved by our It experts, and tested by our senior professionals with many years' experience.
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.
In addition, there are many other advantages of our EMC D-MSS-DS-23 learning guide. With the help of Microsoft MB-220 study material, you will master the concepts and techniques that ensure you exam success. In fact, our Cisco 300-425 exam materials provide comprehensive customers service, and our commitment to users does not end at the point of sale. Salesforce Marketing-Cloud-Email-Specialist exam cram materials will try our best to satisfy your demand. So you have nothing to worry about, only to study with our IBM C1000-181 exam questions with full attention.
Updated: May 26, 2022