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Series63日本語版参考資料、Series63無料過去問 - Finra Series63試験問題解説集 - Royalholidayclubbed
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だから、FINRAのSeries63日本語版参考資料試験に合格したいあなたは安心で弊社の商品を選べばいいんです。我々のFINRAのSeries63日本語版参考資料ソフトを利用してお客様の高通過率及び我々の技術の高いチームで、我々は自信を持って我々Royalholidayclubbedは専門的なのだと言えます。アフターサービスは会社を評価する重要な基準です。 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。 あなたの試験準備にヘルプを提供するのは常にあります。
Uniform Securities State Law Series63 それはあなたが夢を実現することを助けられます。
最も少ない時間とお金でFINRA Series63 - Uniform Securities Agent State Law Examination日本語版参考資料認定試験に高いポイントを取得したいですか。 最近、FINRAのSeries63 資格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。
だから、Series63日本語版参考資料試験のために、弊社の商品を選ばれば、後悔することがないです。Series63日本語版参考資料参考資料を使用したお客様からいい評価をもらいました。Series63日本語版参考資料参考資料は多くの人の絶対いい選択です。
FINRA Series63日本語版参考資料 - Royalholidayclubbedを選られば、成功しましょう。
RoyalholidayclubbedのFINRAのSeries63日本語版参考資料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日本語版参考資料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日本語版参考資料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。
君はまずネットで無料な部分のFINRA認証試験をダウンロードして現場の試験の雰囲気を感じて試験に上手になりますよ。FINRAのSeries63日本語版参考資料認証試験に失敗したら弊社は全額で返金するのを保証いたします。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 4
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 3 years in prison, a $5,000 fine, or both
C. up to 5 years in prison and a fine of $1,500,000 or both
D. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
Answer: A
Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times the
amount of profits gained, or losses avoided.
QUESTION NO: 5
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.
Apple DEP-2025 - 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。 Salesforce Service-Cloud-Consultant-JPN - 合格書を持ち方が持たない人により高い給料をもうけられます。 VMware 250-610 - 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。 Royalholidayclubbedの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSAP C-C4H56-2411認定試験対策模擬テスト問題集が研究しました。 Palo Alto Networks PSE-Cortex - 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
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