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Series63オンライン試験 - Finra Uniform Securities Agent State Law Examination資格勉強 - Royalholidayclubbed
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周りの多くの人は全部FINRA Series63オンライン試験資格認定試験にパースしまして、彼らはどのようにできましたか。今には、あなたにRoyalholidayclubbedを教えさせていただけませんか。我々社サイトのFINRA Series63オンライン試験問題庫は最新かつ最完備な勉強資料を有して、あなたに高品質のサービスを提供するのはSeries63オンライン試験資格認定試験の成功にとって唯一の選択です。 これは試用の練習問題で、あなたにインタフェースの友好、問題の質と購入する前の価値を見せます。弊社はRoyalholidayclubbedのFINRAのSeries63オンライン試験のサンプルは製品の性質を確かめるに足りて、あなたに満足させると信じております。 そうすれば、あなたは簡単にSeries63オンライン試験復習教材のデモを無料でダウンロードできます。
Uniform Securities State Law Series63 あなたはまだ何を心配しているのですか。
FINRA Series63 - Uniform Securities Agent State Law Examinationオンライン試験「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA Series63 - Uniform Securities Agent State Law Examinationオンライン試験証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。 FINRAのSeries63 資料勉強試験に受かるのは実際にそんなに難しいことではないです。大切なのはあなたがどんな方法を使うかということです。
今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。Royalholidayclubbedが提供したのオンライン商品がIT業界では品質の高い学習資料、受験生の必要が満足できるサイトでございます。
FINRA Series63オンライン試験 - どちらを受験したいですか。
FINRAのSeries63オンライン試験認定試験は実は技術専門家を認証する試験です。 FINRAのSeries63オンライン試験認定試験はIT人員が優れたキャリアを持つことを助けられます。優れたキャリアを持ったら、社会と国のために色々な利益を作ることができて、国の経済が継続的に発展していることを進められるようになります。全てのIT人員がそんなにられるとしたら、国はぜひ強くなります。RoyalholidayclubbedのFINRAのSeries63オンライン試験試験トレーニング資料はIT人員の皆さんがそんな目標を達成できるようにヘルプを提供して差し上げます。RoyalholidayclubbedのFINRAのSeries63オンライン試験試験トレーニング資料は１００パーセントの合格率を保証しますから、ためらわずに決断してRoyalholidayclubbedを選びましょう。
では、どうしたらいいでしょうか。大丈夫ですよ。
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.
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Updated: May 26, 2022
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