And our Series63 Study Guide Book study materials always contain the latest exam Q&A. Even though we have already passed many large and small examinations, we are still unconsciously nervous when we face examination papers. Series63 Study Guide Book practice quiz provide you with the most realistic test environment, so that you can adapt in advance so that you can easily deal with formal exams. Users can deeply depend on our Uniform Securities Agent State Law Examination exam dumps when you want to get a qualification. There may be many problems and difficulties you will face, but believe in our Uniform Securities Agent State Law Examination exam dumps if you want to be the next beneficiary, our Series63 Study Guide Book quiz guide is not only superior in price than any other makers in the educational field , but also are distinctly superior in the quality of our products. They can simulate real operation of test environment and users can test Series63 Study Guide Book test prep in mock exam in limited time.
Uniform Securities State Law Series63 After ten days you can go to the exam.
We make Series63 - Uniform Securities Agent State Law Examination Study Guide Book exam prep from exam candidate perspective, and offer high quality practice materials with reasonable prices but various benefits. On one hand, our Series63 Latest Practice Test Online study materials are all the latest and valid exam questions and answers that will bring you the pass guarantee. on the other side, we offer this after-sales service to all our customers to ensure that they have plenty of opportunities to successfully pass their actual exam and finally get their desired certification of Series63 Latest Practice Test Online learning materials.
Once you decide to buy, you will have many benefits like free update lasting one-year and convenient payment mode. We will inform you immediately once there are latest versions of Series63 Study Guide Book test question released. And if you get any questions, please get contact with us, our staff will be online 24/7 to solve your problems all the way.
FINRA Series63 Study Guide Book - Cease to struggle and you cease to live.
Our Series63 Study Guide Book exam prep will give you a complete after-sales experience. You can consult online no matter what problems you encounter. You can get help anywhere, anytime in our Series63 Study Guide Book test material. Series63 Study Guide Book test questions have very high quality services in addition to their high quality and efficiency. If you use Series63 Study Guide Book test material, you will have a very enjoyable experience while improving your ability. We have always advocated customer first. If you use our learning materials to achieve your goals, we will be honored. Series63 Study Guide Book exam prep look forward to meeting you.
You will enjoy our newest version of the Series63 Study Guide Book study prep after you have purchased them. Our ability of improvement is stronger than others.
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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: 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.
After you use our study materials, you can get Google Cloud-Digital-Leader certification, which will better show your ability, among many competitors, you will be very prominent. In order to save you a lot of installation troubles, we have carried out the online engine of the SAP C_TS4FI_2023 latest exam guide which does not need to download and install. IBM C1000-005 - It will be a first step to achieve your dreams. High question hit rate makes you no longer aimless when preparing for the exam, so you just should review according to the content of our Cisco 300-610 study guide prepared for you. Our CompTIA CS0-003 real exam try to ensure that every customer is satisfied, which can be embodied in the convenient and quick refund process.
Updated: May 26, 2022