Series 63 mastery Study guides, Class notes & Summaries

A person applying for an initial registration as an agent might be asked to provide all of the following except A) citizenship information. B) employment history. C) a consent to service of process. D) fingerprints. - ANSWER D. Fingerprints Unlike FINRA, the USA does not require fingerprints for new registrants. Form U4 lists employment history and many other personal details. LO 2.g

All of the following are included in the definition of person under the Uniform Securities Act EXCEPT a deceased individual an unincorporated association a political subdivision the custodian for a minor - ANSWER a deceased individual A minor, but not the custodian, a deceased individual, and an individual whom the court has deemed incompetent are not persons under the USA. Natural persons and legal entities are persons under the USA. 1.1

Series 63 Mastery Exam Latest Update..

agent - ANSWER An individual who represents a broker/dealer or an issuer when selling or trying to sell securities to the investing public. This individual is considered an _____ whether he or she actually receives or simply solicits orders. Also known as "registered representatives." Two types of agents - ANSWER An individual who represents a broker dealer in effecting or attempting to effect securities transactions (an entrepreneur selling stock in his own company to raise capital

NSG 6340 PREDICTOR STUDY GUIDE 2 1. A 37-year-old female patient with a history of a single episode of depression and frequent complaints of PMS is being treated for hypothyroidism. Today she complains of poor concentration and fatigue. Initially, the NP should: a. Question her further 3. Which of the following is an example of secondary prevention? a. Annual influenza vaccination 7. A 35-year old female with a history of mitral valve prolapse is scheduled for routine dental cleaning. Accor...

Consumer Behaviour, 7e (Solomon) Chapter 3 Learning and Memory 1) ________ refers to a relatively permanent change in behaviour that is caused by experience. A) Learning B) Memory C) Perception D) Motivation Answer: A Type: MC Page Ref: 61 Skill: Concept Objective: L3-01 Understand why it is important to know how consumers learn about products and services. 2) Casual, even unintentional, acquisition of knowledge is called: A) incidental learning. B) piggybacking. C) st...

PROFESSIONAL EDUCATION SAMPLE EXAM [SET B] MULTIPLE CHOICE 1. You are very much interested in a quality professional development program for teachers. What characteristic should you look for? a. Prescribe by top educational teachers b. Dependent on the availability of funds c. Required for renewal of professional license d. Responsive to identified teacher’s needs. 2. To ensure high standards of teachers’ personal and professional development, which of the following measures must b...

PROFESSIONAL EDUCATION SAMPLE EXAM [SET B] MULTIPLE CHOICE 1. You are very much interested in a quality professional development program for teachers. What characteristic should you look for? a. Prescribe by top educational teachers b. Dependent on the availability of funds c. Required for renewal of professional license d. Responsive to identified teacher’s needs. 2. To ensure high standards of teachers’ personal and professional development, which of the following measures must b...