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Series63日本語版問題解説 & Series63認証資格 - Series63参考書内容 - Royalholidayclubbed
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Royalholidayclubbedはずっと君のために最も正確なFINRAのSeries63日本語版問題解説「Uniform Securities Agent State Law Examination」試験に関する資料を提供して、君が安心に選択することができます。君はオンラインで無料な練習問題をダウンロードできて、１００％で試験に合格しましょう。RoyalholidayclubbedはIT試験問題集を提供するウエブダイトで、ここによく分かります。 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。 そしてあなたにSeries63日本語版問題解説試験に関するテスト問題と解答が分析して差し上げるうちにあなたのIT専門知識を固めています。
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日本語版問題解説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は君にとってベストな選択になります。ここには、私たちは君の需要に応じます。
現在、書籍の以外にインターネットは知識の宝庫として見られています。Royalholidayclubbed で、あなたにあなたの宝庫を見つけられます。Royalholidayclubbed はFINRAのSeries63日本語版問題解説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。
FINRA Series63日本語版問題解説 - 心はもはや空しくなく、生活を美しくなります。
RoyalholidayclubbedのSeries63日本語版問題解説教材を購入したら、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。試験問題集が更新されると、Royalholidayclubbedは直ちにあなたのメールボックスにSeries63日本語版問題解説問題集の最新版を送ります。あなたは試験の最新バージョンを提供することを要求することもできます。最新のSeries63日本語版問題解説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。
現在IT技術会社に通勤しているあなたは、FINRAのSeries63日本語版問題解説試験認定を取得しましたか？Series63日本語版問題解説試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63日本語版問題解説試験に一発合格したいなら、我々社のFINRAのSeries63日本語版問題解説資料を参考しましょう。
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 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: 4
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: 5
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.
Royalholidayclubbedは先輩の経験を生かして暦年の試験の材料を編集することを通して、最高のUiPath UiPath-TAEPv1問題集を作成しました。 だから、我々社は力の限りで弊社のFINRA HP HPE0-V25J試験資料を改善し、改革の変更に応じて更新します。 IBM C1000-185 - うちの商品を使ったら、君は最も早い時間で、簡単に認定試験に合格することができます。 あなたはOracle 1z0-1196-25試験に不安を持っていますか？Oracle 1z0-1196-25参考資料をご覧下さい。 Huawei H19-635_V1.0 - もしうちの学習教材を購入した後、認定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。
Updated: May 26, 2022
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