Series63信息資訊，Finra Series63考試大綱 - Uniform Securities Agent State Law Examination - Royalholidayclubbed

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相信你對我們的產品會很滿意的。利用它你可以很輕鬆地通過考試。我們承諾，如果你使用了Royalholidayclubbed的最新的FINRA Series63信息資訊認證考試練習題和答案卻考試失敗，Royalholidayclubbed將會全額退款給你。 Royalholidayclubbed FINRA的Series63信息資訊考試培訓資料你可以得到最新的FINRA的Series63信息資訊考試的試題及答案，它可以使你順利通過FINRA的Series63信息資訊考試認證，FINRA的Series63信息資訊考試認證有助於你的職業生涯，在以後不同的環境，給出一個可能，FINRA的Series63信息資訊考試合格的使用，我們Royalholidayclubbed FINRA的Series63信息資訊考試培訓資料確保你完全理解問題及問題背後的概念，它可以幫助你很輕鬆的完成考試，並且一次通過。通過Series63信息資訊考試認證，如同通過其他世界知名認證，得到國際的承認及接受，Series63信息資訊考試認證也有其廣泛的IT認證，世界各地的人們都喜歡選擇Series63信息資訊考試認證，使自己的職業生涯更加強化與成功，在Royalholidayclubbed，你可以選擇適合你學習能力的產品。

Uniform Securities State Law Series63 Royalholidayclubbed有你們需要的最新最準確的考試資料。

Uniform Securities State Law Series63信息資訊 - Uniform Securities Agent State Law Examination 在真實的生命裏，每樁偉業都有信心開始，並由信心跨出第一步。在現在的市場上，Royalholidayclubbed是你最好的選擇。長時間以來，Royalholidayclubbed已經得到了眾多考生的認可。

你參加過哪一個考試呢？比如Series63信息資訊等很多種考試。這些都是很重要的考試，你想參加哪一個呢？我們在這裏說一下Series63信息資訊認證考試。如果你想參加這個考試，那麼Royalholidayclubbed的Series63信息資訊考古題可以幫助你輕鬆通過考試。

FINRA Series63信息資訊 - 如果你還是不相信，馬上親身體驗一下吧。

想參加Series63信息資訊認證考試嗎？想取得Series63信息資訊認證資格嗎？沒有充分準備考試的時間的你應該怎麼通過考試呢？其實也並不是沒有辦法，即使只有很短的準備考試的時間你也可以輕鬆通過考試。那麼怎麼才能做到呢？方法其實很簡單，那就是使用Royalholidayclubbed的Series63信息資訊考古題來準備考試。

期待成為擁有Series63信息資訊認證的專業人士嗎？想減少您的認證成本嗎？想通過Series63信息資訊考試嗎？如果你回答“是”，那趕緊來參加考試吧，我們為您提供涵蓋真實測試的題目和答案的試題。FINRA的Series63信息資訊考古題覆蓋率高，可以順利通過認證考試，從而獲得證書。

Series63 PDF DEMO:

QUESTION NO: 1
A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of
A. fraud.
B. churning.
C. unauthorized transactions.
D. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
Answer: D
Explanation: A broker-dealer of commodity futures contracts is guilty of nothing under the Uniform
Securities Act since a commodity futures contract is not a security as defined by the USA. The broker-dealer may, however, find himself in trouble with the Commodity Futures Trading
Commission,
which is the regulatory agency of the futures market.

QUESTION NO: 2
An investment adviser or its representative may
A. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C. exercise discretionary power in the purchase or sale of securities for a client's account as long as
D. exercise discretionary power in the purchase or sale of securities for a client's account only after
Answer: B
Explanation: An investment adviser or its representative may exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority
over the account within 10 business days of the first transaction placed, assuming oral authority has already been given.

QUESTION NO: 3
Which of the following would be an unsuitable recommendation for your 68-year-old client?
A. a Treasury Inflation Protected Security (TIPS)
B. a deferred annuity
C. an S&P 500 Index mutual fund
D. a high quality corporate bond fund
Answer: B
Explanation: A deferred annuity would be an unsuitable recommendation for your 68-year-old client.
These annuities charge significant penalties for early withdrawals-and "early" can mean before 10 years,
or even longer. A 68-year-old client may have the need to withdraw his money early to make medical payments.

QUESTION NO: 4
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, II, and III
B. I and II only
C. II and III only
D. I and III only
Answer: C
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.

QUESTION NO: 5
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
A. I, II and III
B. I only
C. I and II only
D. I and III only
Answer: A
Explanation: When selling shares in a closed-end investment company, an agent must inform the client of
any commissions, underwriting fees, or miscellaneous other offering expenses involved.

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Updated: May 26, 2022

by RHC.

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