Series 63 Exam Prep - Practice Test Explicated. Hit pause, answer, hit play. скачать в хорошем качестве

Series 63 Exam Prep - Practice Test Explicated. Hit pause, answer, hit play.

1. C. Uniform Securities Act 2. D. Solicitation of an offer 3. A. NSMIA 4. B. Trust Indenture Act of 1939 5. C. Regulation SP 6. A. Legal person 7. A. Broker/dealer 8. D. Financial Planner 9. C. ABC Test 10. B. IAR 11. A. Institutional investors 12. D. Private placements 13. A. State administrator 14. B. $10,000 Surety bond 15. A. Personnel 16. C. Three-year record retention for broker/dealers and five years for IA 17. B. definition of a security 18. A. Commodities 19. D. Promotional materials 20. C. Written findings 21. B. Offering price 22. C. State and federal securities regulators 23. D. Minimum of 3 years 24. A. Registration by filing 25. C. Issuer's competitors 26. D. Anti-fraud 27. C. Private Placement 28. C. NSMIA 29. B. Deceptive and misleading 30. D. Material fact 31. D. Material fact 32. A. Material non-public information 33. C. Lending to and from customers 34. C. Backdating 35. C. Clerical error 36. D. No guarantees 37. B. Artifice 38. B. Margin agreement 39. D. Comingling 40. D. Failure to make a bona fide distribution 41. B. Common control 42. C. Risk tolerance 43. C. Verification of facts 44. B. Joint account with customer 45. D. Release of client information 46. B. Written notification to customer 47. D. Custody 48. B. IA is financial institution 49. B. Fiduciary 50. C. Discretion 51. D. Testimonials 52. B. Disclosures of third parties 53. B. Jurisdiction 54. C. Cease and desist order 55. D. Jurisdiction 56. B. Transaction 57. A. Issuing orders 58. D. Deny, suspend, revoke 59. D. Cancel a registration 60. D. Penalties under USA