Series 63 Study guides, Class notes & Summaries

WGU C955 Applied Probability and Statistics Test Bank (New 2023/ 2024 Update) All Modules Covered_ Grade A _ Questions and Verified Answers_ 100% Correct QUESTION If a six-sided die is rolled 3 times, how many possible outcomes are there? a. 6 b. 18 c. 36 d. 216 Answer: d. 216 Correct. The answer is d. Each roll has 6 possible outcomes, so 3 rolls have 63 or 216 possible outcomes. QUESTION If a couple has three children, how many different ways are there to order a s...

Medical Assisting Administrative & Clinical Competencies (MindTap Course List) 9th Edition 1 | P a g e TEST BANK FOR Medical Assisting Administrative & Clinical Competencies (MindTap Course List) 9thEdition Chapter 1 1. Medical assisting is probably right for you if you: a. like to work alone, completing tasks independently. b. are more comfortable completing a consistent task daily. c. do not like variety in your job. d. are interested in a career in an expanding field. ANSWER: d PO...

Exceptions for BD Agents correct answers The only exceptions that apply to a person working for a BD effecting securities transactions is in reference to WHO they sell to: 1.) Non-Resident Customer (30 day) -RR can continue to service customer even if he is not registered as an agent in the state in which the customer is temporarily located. -Time frame is 30 days or less 2.) New Resident Customer (60 day) -RR is not considered an agent in customers new state for a period of 60...

Series 63 – (Went from Chapter 1 to Chapter 5 and made flash cards for around 90-95% of the material included in the Series 63 RegEd book/binder) You're welcome.

A transactional exemption would be available when a sale is made in all of the following situations EXCEPT A) to a federally chartered credit union B) to a lawyer as an incidental part of his legal practice C) to a broker-dealer by a non-affiliated broker-dealer D) by a federal marshal to individual investors correct answers B The Uniform Securities Act provides for civil penalties in the event of improper activities of agents. Under the act, the maximum that a purchaser would be enti...

What provisions of the USA can the Administrator not change? correct answers Laws relating to defined exempt securities (always have jurisdiction if Fraud is involved) Does the Administrator have jurisdiction over a transaction effected or accepted in a state? correct answers Yes Does the Administrator have jurisdiction when an offer was directed from the state, or directed into the state? correct answers Yes Does the Administrator have jurisdiction when a check for a transaction was...

According to NASAA's Statement of Policy on Dishonest or Unethical Business Practices of Brokers-Dealers and Agents, all of the following practices are considered unethical for an agent except A) determining the quantity of a specific security to purchase once the client has designated that security and the action to be taken. B) receiving written discretionary authority from a client within 10 business days of first executing a discretionary trade with oral authority from the client. C)...

Although state registration is not required for federal covered advisers, most states do require them to make a notice filing with the Administrator. This consists of : -copies of the registration forms sent to the SEC, -a consent to service of process form, -and a filing fee. correct answers NOT classified as broker-dealers: 1. Agents (registered representatives) 2. Issuers 3. Banks, savings institutions, and trust companies 4. Persons who have no place of business in the state and w...

Series 63 Mastery exam questions with 100% correct answers(graded A+) 2024.

SERIES 63 MASTERY exam questions with 100% correct answers(graded A+).

According to the Uniform Securities Act, which of the following statements is/are NOT TRUE concerning a broker-dealer or investment adviser filing an application for registration as a successor firm? I. The successor firm must be in existence prior to the filing of the application for registration II. The successor firm's registration will be effective for the unexpired portion of the year III. The successor firm must submit a filing fee with the application for registration correct answers ...