Series63前提条件 - Series63日本語版サンプル & Uniform Securities Agent State Law Examination - Royalholidayclubbed

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多くの時間とお金がいらなくて２０時間だけあって楽に一回にFINRAのSeries63前提条件認定試験を合格できます。Royalholidayclubbedが提供したFINRAのSeries63前提条件試験問題と解答が真実の試験の練習問題と解答は最高の相似性があります。近年、IT領域で競争がますます激しくなります。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。 IT専門知識をテストしているFINRAのSeries63前提条件認定試験は1つのとても重要な認証試験でございます。

Uniform Securities State Law Series63 そうだったら、下記のものを読んでください。

このような受験生はSeries63 - Uniform Securities Agent State Law Examination前提条件認定試験で高い点数を取得して、自分の構成ファイルは市場の需要と互換性があるように充分な準備をするのは必要です。 RoyalholidayclubbedのFINRAのSeries63 専門知識内容問題集を購入したら、私たちは君のために、一年間無料で更新サービスを提供することができます。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。

Royalholidayclubbed はFINRAのSeries63前提条件試験に関連する知識が全部含まれていますから、あなたにとって難しい問題を全て解決して差し上げます。RoyalholidayclubbedのFINRAのSeries63前提条件試験トレーニング資料は必要とするすべての人に成功をもたらすことができます。FINRAのSeries63前提条件試験は挑戦がある認定試験です。

FINRA Series63前提条件 - では、どうやって自分の能力を証明するのですか。

世の中に去年の自分より今年の自分が優れていないのは立派な恥です。それで、IT人材として毎日自分を充実して、Series63前提条件問題集を学ぶ必要があります。弊社のSeries63前提条件問題集はあなたにこのチャンスを全面的に与えられます。あなたは自分の望ましいFINRA Series63前提条件問題集を選らんで、学びから更なる成長を求められます。心はもはや空しくなく、生活を美しくなります。

最新のSeries63前提条件試験問題を知りたい場合、試験に合格したとしてもRoyalholidayclubbedは無料で問題集を更新してあげます。RoyalholidayclubbedのSeries63前提条件教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。

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.

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Updated: May 26, 2022

by RHC.

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