Series63證照指南 & Finra Uniform Securities Agent State Law Examination最新考古題 - Royalholidayclubbed

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有了目標就要勇敢的去實現。每一個選擇IT行業的人應該都不會只是安於現狀那樣簡單點的生活，現在各行各業的競爭壓力可想而知，IT行業也不例外，所以你們要是有了目標就要勇敢的去實現，其中通過 FINRA的Series63證照指南考試認證也是一次不小的競爭方式之一，通過了此考試，那麼你的IT生涯將會大展宏圖，會有一幅不一樣的藍圖等著你去勾勒，而我們Royalholidayclubbed網站可以提供你真實準確的培訓資料，幫助你通過考試獲得認證，從而實現你的藍圖理想。 Royalholidayclubbed的Series63證照指南考古題是最好的工具。這個考古題為你搜集並解析了很多優秀的過去考試考過的問題，並且根據最新的大綱加入了很多可能出現的新問題。就好比我，平時不努力，老大徒傷悲。

Uniform Securities State Law Series63 那麼，你就有必要時常提升自己了。

Uniform Securities State Law Series63證照指南 - Uniform Securities Agent State Law Examination Royalholidayclubbed是一個學習IT技術的人們都知道的網站。快點來體驗一下吧。Series63 最新試題資格認證考試是非常熱門的一項考試，雖然很難通過，但是你只要找准了切入點，考試合格並不是什麼難題。

如果不相信就先試用一下。因為如果考試不合格的話Royalholidayclubbed會全額退款，所以你不會有任何損失。用過以後你就知道Series63證照指南考古題的品質了，因此趕緊試一下吧。

通過FINRA FINRA Series63證照指南的認證考試可以提高你的IT職業技能。

雖然大多數人會覺得通過FINRA Series63證照指南認證考試很難。但是如果你選擇了我們的Royalholidayclubbed，你會覺得拿到FINRA Series63證照指南認證考試的證書不是那麼難了。Royalholidayclubbed的訓練工具很全面，包含線上服務和售後服務。我們的線上服務是研究資料，它包含類比訓練題，和FINRA Series63證照指南認證考試相關的考試練習題和答案。售後服務是Royalholidayclubbed不僅能提供最新的FINRA Series63證照指南認證考試練習題和答案以及動態消息，還不斷的更新考試練習題和答案和裝訂。

通過FINRA Series63證照指南認證考試肯定會給你帶來很好的工作前景，因為FINRA Series63證照指南認證考試是一個檢驗IT知識的測試，而通過了FINRA Series63證照指南認證考試，證明你的IT專業知識很強，有很強的能力，可以勝任一份很好的工作。

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

by RHC.

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