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Series63出題内容 - Finra Series63模擬問題 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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もしあなたが試験に合格する決心があったら、我々のFINRAのSeries63出題内容ソフトを利用するのはあなたの試験に成功する有効な保障です。我々のFINRAのSeries63出題内容ソフトのデモをダウンロードしてみて我々Royalholidayclubbedのあなたに合格させる自信を感じられます。多くの人は結果が大丈夫で過程だけ重要ですって言いますが。 それは正確性が高くて、カバー率も広いです。あなたはRoyalholidayclubbedの学習教材を購入した後、私たちは一年間で無料更新サービスを提供することができます。 これらをするのはあなたのFINRAのSeries63出題内容試験を準備する圧力を減少するためです。
Uniform Securities State Law Series63 PDF版、ソフト版、オンライン版があります。
FINRAのSeries63 - Uniform Securities Agent State Law Examination出題内容試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。 業界で有名なFINRA Series63 学習関連題問題集販売会社として、購入意向があると、我々の商品を選んでくださいませんか。今の社会はますます激しく変化しているから、私たちはいつまでも危機意識を強化します。
社会と経済の発展につれて、多くの人はIT技術を勉強します。なぜならば、IT職員にとって、FINRAのSeries63出題内容資格証明書があるのは肝心な指標であると言えます。自分の能力を証明するために、Series63出題内容試験に合格するのは不可欠なことです。
FINRA Series63出題内容 - こうして、君は安心で試験の準備を行ってください。
Series63出題内容試験はFINRAの認定試験の一つですが、もっとも重要なひとつです。FINRAのSeries63出題内容の認定試験に合格するのは簡単ではなくて、RoyalholidayclubbedはSeries63出題内容試験の受験生がストレスを軽減し、エネルギーと時間を節約するために専門研究手段として多様な訓練を開発して、Royalholidayclubbedから君に合ったツールを選択してください。
FINRA Series63出題内容「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出題内容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。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。
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 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: 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.
SAP C_TS422_2023-JPN試験はFINRAの一つ重要な認証試験で多くのIT専門スタッフが認証される重要な試験です。 NAHQ CPHQ - 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。 CompTIA SY0-701-JPN - 成功を祈ります。 Salesforce CRT-450 - 試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。 FINRAのSAP C-TS470-2412認定試験「Uniform Securities Agent State Law Examination」によい準備ができて、試験に穏やかな心情をもって扱うことができます。
Updated: May 26, 2022
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