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NO.1 A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account
holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
A. I and III only
B. II and III only
C. I, II, and III
D. I and II only
Answer: B
Series63 Topic Series63 Hub
Explanation: Only Selections II and III are true. A limited power-of-attorney gives the designated
person
the right to obtain account statements, including tax statements, on behalf of the account holder and
to
order the purchase of an asset for the account holder's account. Only a full (or unlimited)
power-of-attorney allows the designated person to withdraw any proceeds from the account.
NO.2 Assuming there is not a stop order or a proceeding pending, under the registration by
coordination
process a security's registration with the state becomes effective:
A. immediately subsequent to approval by the SEC, regardless of how long the registration statement
has
been on file.
B. immediately after approval by the SEC as long as the registration statement has been on file for at
least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
C. only when it is approved by the state Administrator, who will review the registration
documentation
upon notification that SEC approval has been granted.
D. only when it is approved by the state Administrator, regardless of whether it has been approved by
the
SEC.
Answer: B
Series63 Measureup
Explanation: Under the registration by coordination process, the security's registration with the state
becomes effective immediately after approval by the SEC as long as the registration has been on file
for
at least 20 days or the Uniform Securities Act has provided an exemption to this waiting period. This
assumes, of course, that there is not a stop order or a proceeding pending.
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