Series63受験練習参考書 & Finra Uniform Securities Agent State Law Examination合格問題 - Royalholidayclubbed

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こうして、君は安心で試験の準備を行ってください。弊社の資料を使って、１００％に合格を保証いたします。もし合格しないと、われは全額で返金いたします。 FINRAのSeries63受験練習参考書の試験の資料やほかのトレーニング資料を提供しているサイトがたくさんありますが、FINRAのSeries63受験練習参考書の認証試験の高品質の資料を提供しているユニークなサイトはRoyalholidayclubbedです。Royalholidayclubbedのガイダンスとヘルプを通して、初めにFINRAのSeries63受験練習参考書「Uniform Securities Agent State Law Examination」の認証を受けるあなたは、気楽に試験に合格すことができます。 FINRA Series63受験練習参考書「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受験練習参考書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。

Uniform Securities State Law Series63 」とゴーリキーは述べました。

Uniform Securities State Law Series63受験練習参考書 - Uniform Securities Agent State Law Examination それに、万一の場合、問題集を利用してからやはり試験に失敗すれば、Royalholidayclubbedは全額返金のことを約束します。きっと望んでいるでしょう。では、常に自分自身をアップグレードする必要があります。

ここで言いたいのは、どのようにすれば効率的にSeries63受験練習参考書認定試験の準備をして一回で試験に合格できるのかということです。FINRAの認定試験は現在とても人気がある試験ですね。この重要な認証資格をもうすでに手に入れましたか。

FINRA Series63受験練習参考書 - 最もよくて最新で資料を提供いたします。

RoyalholidayclubbedのFINRAのSeries63受験練習参考書の試験問題は同じシラバスに従って、実際のFINRAのSeries63受験練習参考書認証試験にも従っています。弊社はずっとトレーニング資料をアップグレードしていますから、提供して差し上げた製品は一年間の無料更新サービスの景品があります。あなたはいつでもサブスクリプションの期間を延長することができますから、より多くの時間を取って充分に試験を準備できます。Royalholidayclubbedというサイトのトレーニング資料を利用するかどうかがまだ決まっていなかったら、Royalholidayclubbedのウェブで一部の試験問題と解答を無料にダウンローしてみることができます。あなたに向いていることを確かめてから買うのも遅くないですよ。あなたが決して後悔しないことを保証します。

専門的な知識が必要で、もしあなたはまだこの方面の知識を欠かれば、Royalholidayclubbedは君に向ける知識を提供いたします。Royalholidayclubbedの専門家チームは彼らの知識や経験を利用してあなたの知識を広めることを助けています。

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

by RHC.

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