STC Series 66 Exam 03B 2025 With
100% Correct Answers
An offer to sell a security was directed by an agent in Nebraska to a client who lives in Kansas,
but who is visiting a relative in Oklahoma. The customer accepts the offer and agrees to make
payment upon their return to Kansas. Under the Uniform Securities Act, which Administrator(s)
have jurisdiction over the transaction? - CORRECT ANSWER✔✔Nebraska & Oklahoma
Which of the following actions may be taken by the Administrator? - CORRECT ANSWER✔✔-
Limit or restrict the function or activities of the registrant
-Administer an oath
-Cancel registration if the registrant cannot be located after a reasonable search
A married couple would like to invest and begin saving for their retirement. Which of the
following instruments would be the most suitable investment recommendation? - CORRECT
ANSWER✔✔IRA
A married couple would like to invest and begin saving for their 8 year old sons college
education. Which of the following options would be the most suitable investment
recommendation? - CORRECT ANSWER✔✔529 Plan
Any person who willfully violates SEC rules and regulations is subject to a fine and imprisonment
of up to: - CORRECT ANSWER✔✔$10,000 and 5 years
For a qualified dividend, what's the minimum and maximum tax rate? - CORRECT
ANSWER✔✔The minimum rate is 0% and the maximum rate is 20%
100% Correct Answers
An offer to sell a security was directed by an agent in Nebraska to a client who lives in Kansas,
but who is visiting a relative in Oklahoma. The customer accepts the offer and agrees to make
payment upon their return to Kansas. Under the Uniform Securities Act, which Administrator(s)
have jurisdiction over the transaction? - CORRECT ANSWER✔✔Nebraska & Oklahoma
Which of the following actions may be taken by the Administrator? - CORRECT ANSWER✔✔-
Limit or restrict the function or activities of the registrant
-Administer an oath
-Cancel registration if the registrant cannot be located after a reasonable search
A married couple would like to invest and begin saving for their retirement. Which of the
following instruments would be the most suitable investment recommendation? - CORRECT
ANSWER✔✔IRA
A married couple would like to invest and begin saving for their 8 year old sons college
education. Which of the following options would be the most suitable investment
recommendation? - CORRECT ANSWER✔✔529 Plan
Any person who willfully violates SEC rules and regulations is subject to a fine and imprisonment
of up to: - CORRECT ANSWER✔✔$10,000 and 5 years
For a qualified dividend, what's the minimum and maximum tax rate? - CORRECT
ANSWER✔✔The minimum rate is 0% and the maximum rate is 20%
