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Series 63 Mastery exam questions with 100% correct answers(graded A+) 2024.
All of the following are included in the definition of person under the Uniform Securities Act EXCEPT 
 
a deceased individual 
an unincorporated association 
a political subdivision 
the custodian for a minor 
a deceased individual 
 
A minor, but not the custodian, a deceased individual, and an individual whom the court has deemed incompetent are not persons 
under the USA. Natural persons and legal entities are persons under the USA. 
1.1 
 
 
 
The term "person", as defined in the Uniform ...
- Examen
- • 87 páginas •
All of the following are included in the definition of person under the Uniform Securities Act EXCEPT 
 
a deceased individual 
an unincorporated association 
a political subdivision 
the custodian for a minor 
a deceased individual 
 
A minor, but not the custodian, a deceased individual, and an individual whom the court has deemed incompetent are not persons 
under the USA. Natural persons and legal entities are persons under the USA. 
1.1 
 
 
 
The term "person", as defined in the Uniform ...
SERIES 63 MASTERY exam questions with 100% correct answers(graded A+)
A person applying for an initial registration as an agent might be asked to provide all of the following except 
A) 
citizenship information. 
B) 
employment history. 
C) 
a consent to service of process. 
D) 
fingerprints. 
D. Fingerprints 
 
Unlike FINRA, the USA does not require fingerprints for new registrants. Form U4 lists employment history and many other personal details. 
LO 2.g 
 
 
 
When a broker-dealer operates on the premises of a financial institution, certain disclosures must be ...
- Examen
- • 102 páginas •
A person applying for an initial registration as an agent might be asked to provide all of the following except 
A) 
citizenship information. 
B) 
employment history. 
C) 
a consent to service of process. 
D) 
fingerprints. 
D. Fingerprints 
 
Unlike FINRA, the USA does not require fingerprints for new registrants. Form U4 lists employment history and many other personal details. 
LO 2.g 
 
 
 
When a broker-dealer operates on the premises of a financial institution, certain disclosures must be ...
2023 Wellcare ACT Mastery exam questions with 100% correct answers(graded A+).
True 
Centene requires all contracted brokers/agents to read, understand, and agree to Centene's Business Ethics and Code of Conduct Policy. 
 
True 
False 
 
 
 
d. 
All of the above 
Which of the following actions are you required to do when contacted regarding an allegation of noncompliant activity? 
 
a. 
Speak with the investigator as quickly as possible. 
b. 
Answer all questions honestly and completely. 
c. 
Offer information and documents important to the investigation. 
d. 
All of the ...
- Examen
- • 20 páginas •
True 
Centene requires all contracted brokers/agents to read, understand, and agree to Centene's Business Ethics and Code of Conduct Policy. 
 
True 
False 
 
 
 
d. 
All of the above 
Which of the following actions are you required to do when contacted regarding an allegation of noncompliant activity? 
 
a. 
Speak with the investigator as quickly as possible. 
b. 
Answer all questions honestly and completely. 
c. 
Offer information and documents important to the investigation. 
d. 
All of the ...
MASTERY exam questions with 100% correct answers(graded A+).
An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
- Examen
- • 182 páginas •
An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
MASTERY EXAM #1 questions with 100% correct answers(graded A+)
In a corporate liquidation, the last to get paid is: 
 
A. Unpaid wages and taxes 
B. Bondholders 
C. Preferred stockholders 
D. Common stockholders 
D. Common stockholders 
 
 
 
All of the following are types of oil and gas direct participation programs EXCEPT: 
 
A. Balanced 
B. Income 
C. Exploratory 
D. Developmental 
A. Balanced 
 
 
 
 
The term "publicly traded fund" is the common name for a(n): 
 
A. open end management company 
B. closed end management company 
C. fixed unit investme...
- Examen
- • 166 páginas •
In a corporate liquidation, the last to get paid is: 
 
A. Unpaid wages and taxes 
B. Bondholders 
C. Preferred stockholders 
D. Common stockholders 
D. Common stockholders 
 
 
 
All of the following are types of oil and gas direct participation programs EXCEPT: 
 
A. Balanced 
B. Income 
C. Exploratory 
D. Developmental 
A. Balanced 
 
 
 
 
The term "publicly traded fund" is the common name for a(n): 
 
A. open end management company 
B. closed end management company 
C. fixed unit investme...
Mastery exam review exam questions with 100% correct answers(graded A+)
Exempt securities must re-establish their exemption annually in order to be sold lawfully in the state. 
remember this 
 
 
 
A material fact is deliberately omitted in a sales presentation because it was publicly known 4 years ago = PROHIBITED 
remember 
 
 
 
 
Brainpower 
Read More 
A registration statement for new issues of securities under the USA is effective for more than one year after its effective date: 
if the issuer or broker/dealer offering the securities has an unsold allotment 
 
...
- Examen
- • 6 páginas •
Exempt securities must re-establish their exemption annually in order to be sold lawfully in the state. 
remember this 
 
 
 
A material fact is deliberately omitted in a sales presentation because it was publicly known 4 years ago = PROHIBITED 
remember 
 
 
 
 
Brainpower 
Read More 
A registration statement for new issues of securities under the USA is effective for more than one year after its effective date: 
if the issuer or broker/dealer offering the securities has an unsold allotment 
 
...
MASTERY EXAM 1 exam questions with 100% correct answers(graded A+).
An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
- Examen
- • 182 páginas •
An open-end management company is a: 
 
 
 
 
A. 
mutual fund 
 
 
 
B. 
publicly traded fund 
 
 
 
C. 
fixed unit investment trust 
 
 
 
D. 
real estate investment trust 
A. 
mutual fund 
 
 
 
To impose the maximum sales charge, under FINRA rules, mutual funds must offer investors all of the following benefits EXCEPT: 
 
 
 
 
A. 
Breakpoints 
 
 
 
B. 
Plan Completion Insurance 
 
 
 
C. 
Rights of Accumulation 
 
 
 
D. 
Letter of Intent 
B. 
Plan Completion Insurance 
 
 
 
 
A closed-end...
State of Colorado Motor Vehicle Dealer Board Mastery Examination exam questions with 100% correct
The License of a motor vehicle salesperson or a power sports salesperson may be denied revoked, or suspended on any of the following grounds except: 
Advertising a salvage vehicle while identifying the vehicle as a salvage vehicle 
 
 
 
The advertise price of a motor vehicle must include: 
Answer- Finance Charge 
 
Advertisement of rate of finance charge. If an advertisement states a rate of finance charge, it 
shall state the rate as an "annual percentage rate," using that term. If the annua...
- Examen
- • 113 páginas •
The License of a motor vehicle salesperson or a power sports salesperson may be denied revoked, or suspended on any of the following grounds except: 
Advertising a salvage vehicle while identifying the vehicle as a salvage vehicle 
 
 
 
The advertise price of a motor vehicle must include: 
Answer- Finance Charge 
 
Advertisement of rate of finance charge. If an advertisement states a rate of finance charge, it 
shall state the rate as an "annual percentage rate," using that term. If the annua...
State of Colorado Motor Vehicle Dealer Board Mastery Examination exam questions with 100% correct answers
The Motor Vehicle Dealer Board has among its members 
Board is comprised of three (3) motor vehicle dealers, three (3) used motor vehicle dealers, and three (3) public members 
 
 

 
 
 
The Motor Vehicle Dealer Board is authorized and empowered to 
 
a. issue or deny buyer agent licenses 
b. issue or deny manufacturer representative licenses 
c. issue or deny motor vehicle dealer and salesperson licenses 
d. all of the above 
C. the administration, enforcement, issuance, and denial of licenses...
- Examen
- • 66 páginas •
The Motor Vehicle Dealer Board has among its members 
Board is comprised of three (3) motor vehicle dealers, three (3) used motor vehicle dealers, and three (3) public members 
 
 

 
 
 
The Motor Vehicle Dealer Board is authorized and empowered to 
 
a. issue or deny buyer agent licenses 
b. issue or deny manufacturer representative licenses 
c. issue or deny motor vehicle dealer and salesperson licenses 
d. all of the above 
C. the administration, enforcement, issuance, and denial of licenses...
Sales mastery test (part 3) License exam questions with 100% correct answers(graded A+).
motor vehicle dealers, powerspoert dealers used power sports dealers 
any change in the hours of operation o business when it continues to operate full time 
 
 
 
the defenition o used motor vehicle dealer or used power sports 
a person who attempts to negotiate a sale or lease of a of a used MV or PWSP vehicle for profit 
 
 
 
 
Brainpower 
Read More 
the motor vehicle board is authorized and empowered to 
all of the above 
 
 
 
when advertising a specific number of motor vehicles, that 
Tru...
- Examen
- • 5 páginas •
motor vehicle dealers, powerspoert dealers used power sports dealers 
any change in the hours of operation o business when it continues to operate full time 
 
 
 
the defenition o used motor vehicle dealer or used power sports 
a person who attempts to negotiate a sale or lease of a of a used MV or PWSP vehicle for profit 
 
 
 
 
Brainpower 
Read More 
the motor vehicle board is authorized and empowered to 
all of the above 
 
 
 
when advertising a specific number of motor vehicles, that 
Tru...
Florida 240 License exam questions with verified correct answers
STATE FOOD SAFETY|2023 LATEST UPDATE|GUARANTEED SUCCESS
2024 FACTS FOR DRIVERS EXAM QUESTIONS WITH 100% CORRECT ANSWERS|GUARANTEED SUCCESS
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NJ STATE BOARD ESTHETICS EXAM 2024 study guide questions and answers already graded A+
BIOS-251 Exam 1 Review exam |62 questions and answers