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Series63オンライン試験 - Finra Uniform Securities Agent State Law Examination日本語版参考書 - Royalholidayclubbed
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どんな業界で自分に良い昇進機会があると希望する職人がとても多いと思って、IT業界にも例外ではありません。ITの専門者はFINRAのSeries63オンライン試験認定試験があなたの願望を助けって実現できるのがよく分かります。Royalholidayclubbedはあなたの夢に実現させるサイトでございます。 もうこれ以上悩む必要がないですよ。ここにはあなたが最も欲しいものがありますから。 Royalholidayclubbedの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries63オンライン試験認定試験対策模擬テスト問題集が研究しました。
Series63オンライン試験認定試験のようなものはどうでしょうか。
Royalholidayclubbedはとても良い選択で、Series63 - Uniform Securities Agent State Law Examinationオンライン試験の試験を最も短い時間に縮められますから、あなたの費用とエネルギーを節約することができます。 Royalholidayclubbedを選んび、成功を選びます。RoyalholidayclubbedのFINRAのSeries63 資料的中率試験トレーニング資料は豊富な経験を持っているIT専門家が研究したもので、問題と解答が緊密に結んでいるものです。
IT認証は同業種の欠くことができないものになりました。あなたはキャリアで良い昇進のチャンスを持ちたいのなら、RoyalholidayclubbedのFINRAのSeries63オンライン試験「Uniform Securities Agent State Law Examination」試験トレーニング資料を利用してFINRAの認証の証明書を取ることは良い方法です。現在、FINRAのSeries63オンライン試験認定試験に受かりたいIT専門人員がたくさんいます。
FINRA Series63オンライン試験 - その権威性は言うまでもありません。
Royalholidayclubbedは優れたIT情報のソースを提供するサイトです。Royalholidayclubbedで、あなたの試験のためのテクニックと勉強資料を見つけることができます。RoyalholidayclubbedのFINRAのSeries63オンライン試験試験トレーニング資料は豊富な知識と経験を持っているIT専門家に研究された成果で、正確度がとても高いです。Royalholidayclubbedに会ったら、最高のトレーニング資料を見つけました。RoyalholidayclubbedのFINRAのSeries63オンライン試験試験トレーニング資料を持っていたら、試験に対する充分の準備がありますから、安心に利用したください。
弊社のFINRAのSeries63オンライン試験試験問題集を買うかどうかまだ決めていないなら、弊社のデモをやってみよう。使用してから、あなたは弊社の商品でFINRAのSeries63オンライン試験試験に合格できるということを信じています。
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
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: 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.
APA FPC-Remote - これは試験の準備をするために非常に効率的なツールですから。 我々はあなたのFINRAのHuawei H29-111_V1.0試験への成功を確保しているだけでなく、楽な準備過程と行き届いたアフターサービスを承諾しています。 Microsoft AI-102認定試験に合格することは難しいようですね。 Huawei H20-712_V1.0 - 数年以来IT認証試験のためのソフトを開発している我々Royalholidayclubbedチームは国際的に大好評を博しています。 Microsoft SC-400 - もし不合格になったら、私たちは全額返金することを保証します。
Updated: May 26, 2022
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