Vendor: FINRA
Certifications: FINRA Certifications
Exam Name: FINRA Uniform Securities Agent State Law
Exam Code: FINRA-SERIES-63
Total Questions: 251 Q&As
Last Updated:
Note: Product instant download. Please sign in and click My account to download your product.
VCE
FINRA FINRA-SERIES-63 Last Month Results
FINRA-SERIES-63 Q&A's Detail
Exam Code: | FINRA-SERIES-63 |
Total Questions: | 251 |
CertBus Has the Latest FINRA-SERIES-63 Exam Dumps in Both PDF and VCE Format
FINRA-SERIES-63 Online Practice Questions and Answers
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
Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective
A. until the maturity date on the bond.
B. for one full year.
C. until December 31st of the same year
D. for two full years.
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?
A. The applicant has never before worked in the securities industry although he has received the requisite training.
B. Some of the information supplied on the registration application was found to be false.
C. The person has been convicted of check kiting within the past ten years.
D. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
Broker-dealer Small and Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small and Associates is required to
A. keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
B. immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
C. call the client who complained and inform him of the disciplinary action that will be taken against Mr. Gaunt.
D. provide the client with a written response to the complaint.
Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick
A. is in violation of securities laws. Arbitrage is a prohibited activity.
B. is skilled if he is able to earn profits 95% of the time using this strategy.
C. is trading on insider information, which is a violation of securities laws.
D. engaged in a fraudulent activity.
Add Comments
I love this dumps. It really helpful and convenient. Recommend strongly.
I am able to pass on the first attempt. There are some typos and some problems with the questions on the downloadable test. Don't take the dumps' word. Fortunately, this situation is rare. In my exam, almost 98% of questions were from this. I even found at least 5 questions that were directly the same as the dumps, word for word.
Valid. All questions from the exam, few questions have the different order. So please be careful in the exam,
this dumps is really good and useful, i have passed the exam successfully. i will share with my friend
HIGHLY recommend. Each question is centered around something that must be known for the FINRA-SERIES-63 exam. Each answer is clear, concise, and contains all needed steps in a manner pertinent to the subjects. One thing need to be improved is there are no explanations for each question. Only explanations for some questions. It would be better if you give explanations to every question.
Strongly recommend this dumps! I passed my exam and just lost 2 questions. I prepared my exam only with this question set. I think if you have enough time to prepare for the exam, you should take some courses like me. Well, it’s OK if you do not study courses and just prepare for the exam with the exam dumps. Some tips for you: You can see the whole exam topics on the official site. I suggest you spend more time on the exam dumps. I got all questions from this dump. I think I answered 2 questions wrong because I did not notice they change the server name and the sequence of the options. So be sure to read your questions CAREFULLY in your actual exam. That’s the second suggestion I give.
This dumps does cover everything you need to know about the exam, but I was surprised by the difference in the knowledge covered in the exam vs what was covered in the practice exams. If you *only* studied the practice exams here, you would not be prepared to get a high score. Use the practice exams to identify weak areas of your knowledge and get up to speed in those areas. A thorough understanding of the subject of the question is often needed to choose the best answer. I noticed several questions where one answer would be correct upon an initial read of the question, but then a more correct answer would be selected upon reading the question a few times and getting an idea of what they're really asking. You've got ask yourself, what knowledge are they expecting you to prove your mastery of by with this question? I'll admit I was a little let down by the amount of studying I did for certain topics that were not touched in the exam. Just remember, the exam is different for each individual so be sure to have all of your bases covered and good luck.
This dumps is valid, and this dumps is the only study material i used for this exam. Surprisingly i met the same question in the exam, so i passed the exam without doubt. Thanks for this dumps and i will recommend it to my friends.
Yes this valid. Passed today 982/1000. Same questions.
I used this dumps and a few other to prepare for the test. This dumps does not cover every single thing possible. It does give a good baseline for the content of the test. I was very pleased with the accurate answers given along with the questions. I found it easy to understand and follow. There are a few mistakes here and there. Overall the content is there and I would recommend it.