Series63考試證照 - Finra Uniform Securities Agent State Law Examination題庫最新資訊 - Royalholidayclubbed

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您可以先在網上下載Royalholidayclubbed為你免費提供的關於FINRA Series63考試證照認證考試的練習題及答案作為嘗試，之後你會覺得Royalholidayclubbed給你通過考試提供了一顆定心丸。選擇Royalholidayclubbed為你提供的針對性培訓，你可以很輕鬆通過FINRA Series63考試證照認證考試。 FINRA的Series63考試證照的考試認證對每位IT人士來說都是非常重要的，只要得到這個認證你一定不回被職場淘汰，並且你將會被升職，加薪。有了這些現實的東西，你將得到你想要的一切，有人說，通過了FINRA的Series63考試證照的考試認證就等於走向了成功，沒錯，這是真的，你有了你想要的一切就是成功的表現之一。如果你正在為通過一些IT認證考試而憂心重重，選擇Royalholidayclubbed的説明吧。

Series63考試證照認證考試是現今很受歡迎的考試。

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FINRA Series63考試證照 - 來吧，你將是未來最棒的IT專家。

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一生輾轉千萬裏，莫問成敗重幾許，得之坦然，失之淡然，與其在別人的輝煌裏仰望，不如親手點亮自己的心燈，揚帆遠航。Royalholidayclubbed FINRA的Series63考試證照考試培訓資料將是你成就輝煌的第一步，有了它，你一定會通過眾多人都覺得艱難無比的FINRA的Series63考試證照考試認證，獲得了這個認證，你就可以在你人生中點亮你的心燈，開始你新的旅程，展翅翱翔，成就輝煌人生。

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.

當你還在為通過FINRA ISTQB ISTQB-CTAL-TA 認證考試而奮鬥時，選擇Royalholidayclubbed的FINRA ISTQB ISTQB-CTAL-TA 認證考試的最新考古題將給你的復習備考帶來很大的幫助。因為Royalholidayclubbed的考古題包含了在實際考試中可能出現的所有問題，所以你只需要記住DAMA DMF-1220考古題裏面出現的問題和答案，你就可以輕鬆通過考試。通過了FINRA Google Associate-Google-Workspace-Administrator 認證考試是你邁向事業頂峰的的墊腳石。你已經取得了這個重要的認證資格嗎？比如，你已經參加了現在參加人數最多的Microsoft MB-820考試了嗎？如果還沒有的話，你應該儘快採取行動了。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EMC NCP-MCI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培訓工具不斷更新，不斷變換的認證考試目標，為你提供最新的考試認證研究資料，有了Royalholidayclubbed FINRA的EMC NCP-MCI，你看到考試將會信心百倍，不用擔心任何考不過的風險，讓你毫不費力的獲得認證。

Updated: May 26, 2022

by RHC.

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