Free SERIES63 Exam Braindumps

Pass your Uniform Securities Agent State Law Examination exam with these free Questions and Answers


  • Exam Code: SERIES63
    Exam Title: Uniform Securities Agent State Law Examination
  • Exam Provider: FINRA
  • Exam Questions: 251
  • Updated On: 26-Nov-2023
QUESTION: 1
The Uniform Securities Act (USA) is

A. a body of laws governing the purchase and sale of securities within a single state.
B. a set of guidelines for individual states to follow when formulating their own securities' laws.
C. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
D. federal legislation that requires all states to adopt the same registration requirements for all

Answer(s): B

Explanation:
The Uniform Securities Act (USA) provides a model for states to follow when formulating their own
securities laws. It does not, itself, contain any laws.

QUESTION: 2

Once you have passed the Series 63 examination, which entity must then approve your application to sel
securities?

A. FINRA
B. NASAA
C. SEC
D. the state administrator

Answer(s): D

Explanation:
Once you have passed the Series 63 exam, it is the state administrator who can approve or deny your
registration. NASAA developed the Uniform Securities Agent State Law Examination and FINRA
administers it. The SEC is not a party to the state registration process.

QUESTION: 3

Which of the following securities would not necessarily be exempt from state registration?

A. a stock listed on the Tokyo Stock Exchange
B. a bond guaranteed by the Canadian government
C. a bond issued by another state's employees' credit union
D. a stock listed as a NASDAQ National Market Issue.

Answer(s): A

Explanation:
Stocks listed on the Tokyo Stock Exchange would not necessarily be exempt from state registration.
Stocks that are registered with the SEC, such as NASDAQ National Market Issue stocks, securities
issued or guaranteed by the Canadian government, and securities issued or guaranteed by banks or
credit unions are all exempt.

QUESTION: 4

Moe is a registered investment adviser doing business under the name of MoeMoney Investment
Advisers, LLC. Larry, Curly, and Mary al hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?


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Post your Comments and Discuss FINRA SERIES63 exam with other Community members:

naser 10/30/2023 10:20:01 PM
very helpful
Anonymous
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Boluo 10/30/2023 5:55:16 PM
How to get into the remaining questions?
Anonymous
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Sanja 10/30/2023 4:18:19 PM
?? for exam
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Leo 10/30/2023 1:11:42 PM
data quality OECD
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francesco 10/30/2023 11:08:31 AM
helpful on 2017 scrum guide
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francesco 10/30/2023 11:04:46 AM
good questions
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Amha 10/30/2023 8:44:45 AM
question 4, is wrong the correct answer is B, summation
Anonymous
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Doc 10/29/2023 9:42:16 PM
QUESTION - What filed-permission do you configure on the candidate profile template? COMMENT - If NONE is not supportes in Recruiting, why is 'None, read, write ....dynamics the correct answer'
UNITED KINGDOM
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Doc 10/29/2023 9:36:02 PM
QUESTION: A User wants to start a recruiting posting job posting. What must occur before the posting process can begin? 3 ans: COMMENT- Option E is incorrect REASON: As part of enablement steps, SAP recommends that to be able to post jobs to a job board, a user need to have the correct permission and SECONDLY, be associated with one posting profile at minimum
UNITED KINGDOM
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Doc 10/29/2023 9:30:15 PM
QUESTION - How are an interviewers ratings of an applicant displayed to a recruiter?2 correct ans COMMENT: This answer is wrong REASON- SAP as part of the last release management has changed the thumbs up and thumbs down to recommended and not recommended respectively
UNITED KINGDOM
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Doc 10/29/2023 9:28:17 PM
QUESTION: You have granted a user with recruiting posting permission. When will this user have access to post a job using recruiting posting? COMMENT: The answer to this question is not 'Immediately' REASON: A synchronisation script is run everyday at 5am GMT allowing recruiting users permissions to be craeted in the RP backofice, only then can the users be associated with a profile and access
UNITED KINGDOM
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Doc 10/29/2023 9:24:48 PM
You have configured a custom field in the job requisition template and would like to use the customer field as a token in the job description and in the recruiting email template, How do you do this? Note: There are 2 correct asnwer(s). COMMENT: The correct answers here is 'Add field in the job requisition' REASON: The listing layout field are made available as tokens in the JD
UNITED KINGDOM
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Varun 10/29/2023 9:11:49 PM
Great question
Anonymous
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Sana 10/29/2023 7:18:10 PM
Thanks for the practice questions
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sowm 10/29/2023 2:44:01 PM
impressivre qustion
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doerjmg 10/29/2023 1:40:53 PM
Question 275 should be "To ensure availability" for the air gapped hvac
UNITED STATES
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open2exam 10/29/2023 1:14:57 PM
i need exam questions nca 6.5 any help please ?
Anonymous
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captaincharismas 10/29/2023 7:02:14 AM
Question 265: I believe the answer should be load balancer (C) instead of reverse proxy (A)
Anonymous
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red robins 10/29/2023 6:15:42 AM
Question 252 should be DNS poisoning not Locator redirection.
SWITZERLAND
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dumps 10/29/2023 5:53:16 AM
I believe 247 should be B. Can someone confirm/explain why the other choice was chosen?
SWITZERLAND
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mimi 10/28/2023 9:33:50 PM
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Isaac 10/28/2023 2:30:50 PM
Great case study
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cg 10/28/2023 8:58:56 AM
It's helpful
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1 10/28/2023 7:32:51 AM
Great sharing
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vikas 10/28/2023 6:57:28 AM
provide access
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Subramanyam avudari 10/28/2023 5:08:31 AM
usefull material
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Bryan 10/27/2023 3:43:08 PM
Question 8 starts with 10 not five so the answer is 10, the solution shows some correct info but is not the same as the question
Anonymous
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Bryan 10/27/2023 3:34:55 PM
Question 4 has something wrong: A = 3 print("A = 3") print("2**3/A-2 =", 2**3/1-2) print("4/2**4-1=", 4/2**3-2) print("1**3/4-1=", 1**3/4-1) print("1*4//2**3=", 1*4//2**3) OUTPUT =============================== A = 3 2**3/A-2 = 6.0 4/2**4-1= -1.5 1**3/4-1= -0.75 1*4//2**3= 0
Anonymous
upvote

captaincharismas 10/27/2023 10:47:49 AM
can anyone explain why question 4 would be reverse proxy?
UNITED STATES
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Mattia 10/27/2023 10:16:37 AM
Several answers are simply wrong, useless
Anonymous
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Vikram 10/26/2023 5:02:18 PM
thanks for helping us
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Sooper content management
INDIA
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Mary 10/26/2023 2:05:51 PM
Good practise
NETHERLANDS
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