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Series63最新試題 -最新Series63題庫 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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我們的Royalholidayclubbed的專家團隊利用自己的經驗為參加FINRA Series63最新試題 認證考試的很多人研究出了最新的有效的培訓工具，包括FINRA Series63最新試題 認證考試測試，考前試題，試題答案。我們的Royalholidayclubbed提供的試題及答案和真正的試題有95%的相似性。使用Royalholidayclubbed的培訓工具，您的FINRA Series63最新試題 認證考試是可以很輕鬆的通過的。 你在煩惱什麼呢？是因為FINRA的Series63最新試題認證考試而煩惱嗎？確實，Series63最新試題考試是一門很難通過的考試。但是你也不用過分擔心。 如果你選擇Royalholidayclubbed卻沒有成功通過考試，Royalholidayclubbed會全額退款給你。
Uniform Securities State Law Series63 還會讓你又一個美好的前程。
如果您在使用我們的FINRA Series63 - Uniform Securities Agent State Law Examination最新試題考古題失敗了，我們承諾給您全額退款，您需要的是像我們發送你失敗的Series63 - Uniform Securities Agent State Law Examination最新試題考試成績單來申請退款就可以了。 速度和高效率當然不可避免，在當今的社會裏，高效率走到哪里都是熱議的話題，所以我們網站為廣大考生設計了一個高效率的培訓資料，可以讓考生迅速領悟，從而考試取得優異的成績。Royalholidayclubbed FINRA的Series63 考題套裝考試培訓資料可以幫助考生節省大量的時間和精力，考生也可以用多餘的時間和盡力來賺去更多的金錢。
通過FINRA Series63最新試題的考試是不簡單的，選擇合適的培訓是你成功的第一步，選擇好的資訊來源是你成功的保障，而Royalholidayclubbed的產品是有很好的資訊來源保障。如果你選擇了Royalholidayclubbed的產品不僅可以100%保證你通過FINRA Series63最新試題認證考試，還可以為你提供長達一年的免費更新。
FINRA Series63最新試題 - 不相信嗎？覺得不可思議嗎？那就快點來試一下吧。
有些網站在互聯網上為你提供高品質和最新的FINRA的Series63最新試題考試學習資料，但他們沒有任何相關的可靠保證，在這裏我要說明的是這Royalholidayclubbed一個有核心價值的問題，所有FINRA的Series63最新試題考試都是非常重要的，但在個資訊化快速發展的時代，Royalholidayclubbed只是其中一個，為什麼大多數人選擇Royalholidayclubbed，是因為Royalholidayclubbed所提供的考題資料一定能幫助你通過測試，，為什麼呢，因為它提供的資料都是最新的，這也是大多數考生通過實踐證明了的。
如果你想问什么工具，那当然是Royalholidayclubbed的Series63最新試題考古題了。當你準備Series63最新試題考試的時候，盲目地學習與考試相關的知識是很不理想的學習方法。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 4
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.
QUESTION NO: 5
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.
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Updated: May 26, 2022
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