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

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FINRA Series63證照資訊認證考試在競爭激烈的IT行業中越來越受歡迎，報名參加考試的人越來越多。但是它的難度並沒有減小，依然很難通過考試，畢竟這是個權威的檢驗電腦專業知識和資訊技術能力的考試。一般人為了通過FINRA Series63證照資訊認證考試都需要花費大量的時間和精力來復習備考。我們Royalholidayclubbed免費更新我們研究的培訓材料，這意味著你將隨時得到最新的更新的Series63證照資訊考試認證培訓資料，只要Series63證照資訊考試的目標有了變化，我們Royalholidayclubbed提供的學習材料也會跟著變化，我們Royalholidayclubbed知道每個考生的需求，我們將幫助你通過你的Series63證照資訊考試認證，以最優惠最實在的價格和最高超的品質來幫助每位考生，讓你們順利獲得認證。我們承諾，如果你使用了Royalholidayclubbed的最新的FINRA Series63證照資訊 認證考試練習題和答案卻考試失敗，Royalholidayclubbed將會全額退款給你。

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證照資訊 - 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。如果你不相信的話，你可以向你身邊的人打聽一下，肯定有人曾經使用過Royalholidayclubbed的資料。我們保證給你提供最優秀的參考資料讓你一次通過考試。

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

想參加Series63證照資訊認證考試嗎？想取得Series63證照資訊認證資格嗎？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證照資訊考古題來準備考試。

期待成為擁有Series63證照資訊認證的專業人士嗎？想減少您的認證成本嗎？想通過Series63證照資訊考試嗎？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證照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 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: 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
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: 4
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?
A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the American Stock Exchange
C. a stock that is listed on the OTC Bulletin Board
D. a put option on a stock that sells in the over-the-counter market
Answer: C
Explanation: A stock that is listed on the OTC Bulletin Board would not be exempt from state registration
unless it already happens to be registered under the Uniform Securities Act. Variable annuities and stocks
listed on the American Stock Exchange are classified as federal covered securities by the NSMIA of
1996
and are exempt from state registration. An amendment to the Securities and Exchange Act of 1934 exempts option contracts from state registration.

QUESTION NO: 5
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.

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Updated: May 26, 2022

by RHC.

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