Printable PDF
Vendor: FINRA
Exam Code: FINRA-SERIES-63
Exam Name: FINRA Uniform Securities Agent State Law Examination
Certification: FINRA Certifications
Total Questions: 251 Q&A
Updated on: Oct 18, 2024
Note: Product instant download. Please sign in and click My account to download your product.
A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can
A. sue CanDo for not getting him the best price of the day-or anything close to it.
B. refuse to pay CanDo commissions for the purchase.
C. refuse to pay for the stock on the settlement date.
D. do nothing about it.
When a client has purchased securities on margin, the broker-dealer
A. may require that the client leave all his securities, even those not purchased on margin, in street name.
B. must keep the securities that the client paid cash for separate from the securities that the client purchased on margin.
C. may use any securities that the client purchased on margin as collateral for a loan from a bank upon receiving a written agreement signed by the client.
D. Both B and C are correct statements.
Which of the following would not appear on an order ticket?
A. the stock symbol
B. the account number of the client buying or selling the security
C. the settlement date
D. the agent's commission
Caden
The content is rich and the answers are accurate, so this material is enough for you to pass the exam. Try your best and do everything carefully.
Miles
Already pass. Valid dumps. Good site. Thanks guys.
Sam
Today i passed the exam, This dumps is valid exactly. Please read all of theory and then use this dumps.
Andy
Now, i have finished my exam. I really appreciate for the help of this dumps. Thanks very much.
King
hi guys, thanks for your help. I passed the exam with good score yesterday. Thanks a million.
ZoZo
Thanks a lot and good lock for every body
Carlos
I purchased the dumps one month ago and I learned a lot from the dumps. I will attend the exam tomorrow, I feel very confident now. Good luck to me.
Alex
This is latest Dumps and all the answers are accurate. You can trust on this. Recommend.
Pin
Thats it for this exam! Gave my test today and passed. Thank to the site. All the best!
Anderson
This dumps is very very valid. I passed this week with a satisfied score. ALL questions were from this file.
The following table comprehensively analyzes the quality and value of FINRA Certifications FINRA-SERIES-63 exam materials.