Series63学習指導 - Finra Uniform Securities Agent State Law Examination日本語版試験解答 - Royalholidayclubbed

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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。しかも、一年間の無料更新サービスを提供します。Royalholidayclubbedは実際の環境で本格的なFINRAのSeries63学習指導「Uniform Securities Agent State Law Examination」の試験の準備過程を提供しています。長年の努力を通じて、RoyalholidayclubbedのFINRAのSeries63学習指導認定試験の合格率が１００パーセントになっていました。FINRAのSeries63学習指導試験の認定はIT業種で不可欠な認定で、あなたはFINRAのSeries63学習指導認定試験に合格するのに悩んでいますか。 RoyalholidayclubbedのFINRAのSeries63学習指導試験問題資料は質が良くて値段が安い製品です。

Uniform Securities State Law Series63 でも、成功へのショートカットがを見つけました。

我々の開発するFINRAのSeries63 - Uniform Securities Agent State Law Examination学習指導ソフトは最新で最も豊富な問題集を含めています。最近、FINRAのSeries63 日本語版受験参考書試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。

我々RoyalholidayclubbedのITエリートと我々のFINRAのSeries63学習指導試験のソフトに満足するお客様は我々に自信を持たせます。あなたのFINRAのSeries63学習指導試験を準備する圧力を減少するのは我々の責任で、あなたにFINRAのSeries63学習指導試験に合格させるのは我々の目標です。我々はほぼ100％の通過率であなたに安心させます。

FINRA Series63学習指導 - Royalholidayclubbedから大変助かりました。

RoyalholidayclubbedのFINRAのSeries63学習指導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す。君がFINRAのSeries63学習指導問題集を購入したら、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。もしFINRAのSeries63学習指導問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。

70％の問題は解説がありますし、試験の内容を理解しやすいと助けます。常にFINRA　Series63学習指導試験に参加する予定があるお客様は「こちらの問題集には、全部で何問位、掲載されておりますか？」といった質問を提出しました。

Series63 PDF DEMO:

QUESTION NO: 1
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: 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
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.

QUESTION NO: 4
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?
A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the American Stock Exchange
C. a stock that is listed on the OTC Bulletin Board
D. a put option on a stock that sells in the over-the-counter market
Answer: C
Explanation: A stock that is listed on the OTC Bulletin Board would not be exempt from state registration
unless it already happens to be registered under the Uniform Securities Act. Variable annuities and stocks
listed on the American Stock Exchange are classified as federal covered securities by the NSMIA of
1996
and are exempt from state registration. An amendment to the Securities and Exchange Act of 1934 exempts option contracts from state registration.

QUESTION NO: 5
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.

Cisco 300-410J - すべてのことの目的はあなたに安心に試験に準備さされるということです。 Microsoft AZ-500J - あらゆる人にとって、時間は非常に大切です。 Amazon MLS-C01-JPN - これをよくできるために、我々は全日24時間のサービスを提供します。でも、FINRA　Salesforce Service-Cloud-Consultant-JPN復習教材を選ばれば、試験に合格することは簡単です。 Microsoft SC-300-KR - すべては豊富な内容があって各自のメリットを持っています。

Updated: May 26, 2022

by RHC.

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