FINRA Series-63 DUMPS WITH REAL EXAM QUESTIONS

PDF Last Updated : Mar 26, 2024
251 Total Questions

$45 3 Months Free Updates

Free Demo
PDF + Test Engine


$65 3 Months Free Updates
Test Engine Last Updated : Mar 26, 2024
251 Total Questions

$55 3 Months Free Updates

Free Demo
Series-63 Guarantee
Money-Back Guarantee with FINRA Certifications Series-63 Dumps

We provide you with a free FINRA Series-63 set of questions and answers for your practice that represent the true quality of our Series-63 dumps. We assure you that RealDumpsCollection is an authentic and reliable provider for FINRA Series-63 exam preparation. Feel free to download our FINRA Series-63 exam dumps to pass your exam with full conviction.

Free Series-63 Demo

Very Effective & Helpful Series-63 Dumps PDF + Test Engine

Stressing about your Series-63 exam? Don’t have enough time to prepare it? Don't worry, we have got your back. RealDumpsCollection has the solution to all your exam problems. RealDumpsCollection provides you with the study material that is worth every penny you pay for your Series-63 exam preparation.

RealDumpsCollection team has dedicated many years in the field to come up with accurate and reliable Series-63 exam questions answers compiled in an easy, readable PDF file format that will equip you with all the knowledge you need to pass your certification in your first attempt. Our Series-63 online practice software will help you monitor your progress. Likewise, you can also check your Series-63 exam preparation online with our test engine.

Increase Your Confidence & Boost your Series-63 Exam Preparation

Take your Series-63 exam preparation to another level by using our test engine. Our test engine is designed to help you check your exam preparation by creating an actual exam environment. It is designed to imitate the real exam situation and has two phases to it, namely:

  • 1. Practice mode in which you can practice all the FINRA Series-63 exam questions with answers
  • 2. Exam mode in which you will not only be able to check your exam preparation but will also get the sense of sitting in an actual exam environment which will boost your confidence in attempting your real exam.

Free FINRA Series-63 DEMO

RealDumpsCollection exam dumps are 100% authentic and are verified for use by professional IT field experts. Our Series-63 study material is purposefully curated to enable you to qualify for your certification exam on the first attempt. With RealDumpsCollection you are not only 100% guaranteed success but your investment is also secure as we offer you a money-back guarantee in case you do not get the promised results. Our FINRA Series-63 dumps are prepared in a PDF file format which contains unique and authentic sets of exam paper questions and answers that are valid all across the globe and can be accessed on all mobile devices. We update our exam database regularly throughout the year so that you can access new practice questions & answers for your Series-63 exam. Our legacy speaks volumes as our Series-63 dumps have inspired thousands of students all across the world to build their future in the IT field.

Free FINRA Series-63 Sample Questions

Question 1

Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A. The client agrees to pay the investment adviser an hourly fee of $60.00. 
B. The investment adviser will receive 0.1% of the total value of the client’s assets under management as of the end of each month. 
C. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter. 
D. All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000. 

Answer: C

Question 2

AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client “doesn’t have to lie awake all night worrying about a financial problem.” In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm’s business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative. Is this a violation of any securities laws? 

A. No. It’s not a violation of any securities laws, but the firm probably won’t retain many clients this way.  
B. Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients. 
C. No. The firm’s phones are manned 24/7, so it hasn’t lied.  
D. It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear. 

Answer: B

Question 3

The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale, 

A. they must be registered with the SEC since railroads are involved in interstate commerce.  
B. they must be registered in every state in which the bonds will be sold to investors.  
C. they must be registered with the SEC and in each state through which the railroad passes.  
D. None of the above statements is true.  

Answer: D

Question 4

“T + 3” refers to  

A. the form, also known as a “trade ticket,” that is filled out when an order is entered into the market.  
B. the form that is filled out and sent to the client confirming that the trade has been executed.  
C. the fact that the settlement date will be three business days after the trade date, which is the “regular way settlement” for transactions involving stocks and corporate and municipal bonds.
D. a procedure to minimize the potential for money laundering.  

Answer: C

Question 5

Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo’s analyst department and is hot off the presses. It has not yet even been put on the firm’s website for the firm’s clients. The analyst department has just changed its recommendation on the stock from “Hold” to “Strong Buy” based on new information that it has obtained on the company. Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo’s clients?

A. Yes. The firm’s analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.
B. No. It is unethical for him to trade based on this information before the firm’s clients have received the information. 
C. No. This is a prohibited activity referred to as “painting the tape.”
D. Both B and C are true statements. 

Answer: B

  • 24/7 CUSTOMER SUPPORT

    With our free and live customer support, you can prepare for your Series-63 exam in a smooth and stress-free manner. In case of any queries regarding the Series-63 dumps feel free to contact us through our live customer support channel anytime.

  • MONEY BACK GUARANTEE

    In case of failure in the Series-63 exam despite preparing with our product, RealDumpsCollection promises you to return your full payment without asking any questions. It’s a win-win opportunity. You do not lose anything and your investment is also kept secure.

  • FREE PRODUCT UPDATES

    After you have made your purchase, RealDumpsCollection takes it upon itself to provide you with free Series-63 updates for up to 90 days of your purchase.

WHAT OUR CLIENT SAYS