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Series63日本語版対策ガイド & Finra Uniform Securities Agent State Law Examination認定内容 - Royalholidayclubbed
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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。IT業種で仕事しているあなたは、夢を達成するためにどんな方法を利用するつもりですか。 RoyalholidayclubbedはもっぱらITプロ認証試験に関する知識を提供するのサイトで、ほかのサイト使った人はRoyalholidayclubbedが最高の知識源サイトと比較しますた。Royalholidayclubbedの商品はとても頼もしい試験の練習問題と解答は非常に正確でございます。 RoyalholidayclubbedのSeries63日本語版対策ガイド教材を購入したら、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。
Uniform Securities State Law Series63 準備することが時間と労力がかかります。
Series63 - Uniform Securities Agent State Law Examination日本語版対策ガイド認定試験の資格を取得するのは容易ではないことは、すべてのIT職員がよくわかっています。 Royalholidayclubbedがもっと早くFINRAのSeries63 試験感想認証試験に合格させるサイトで、FINRAのSeries63 試験感想認証試験についての問題集が市場にどんどん湧いてきます。あなたがまだ専門知識と情報技術を証明しています強い人材で、RoyalholidayclubbedのFINRAのSeries63 試験感想認定試験について最新の試験問題集が君にもっとも助けていますよ。
RoyalholidayclubbedのFINRAのSeries63日本語版対策ガイド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日本語版対策ガイド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日本語版対策ガイド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。
FINRA Series63日本語版対策ガイド - ここで皆様に良い方法を教えてあげますよ。
我々RoyalholidayclubbedはFINRAのSeries63日本語版対策ガイド試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。また、我々はさらに認可を受けられるために、皆様の一切の要求を満足できて喜ぶ気持ちでずっと協力し、完備かつ精確のSeries63日本語版対策ガイド試験問題集を開発するのに準備します。
あなたが何ヶ月でやる必要があることを我々はやってさしあげましたから。あなたがするべきことは、RoyalholidayclubbedのFINRAのSeries63日本語版対策ガイド試験トレーニング資料に受かるのです。
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
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: 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
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
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.
ほんとんどお客様は我々RoyalholidayclubbedのFINRA Microsoft MS-102J問題集を使用してから試験にうまく合格しましたのは弊社の試験資料の有効性と信頼性を説明できます。 RoyalholidayclubbedのFINRAのMicrosoft DP-420J試験トレーニング資料のカバー率がとても高いですから、自分で勉強するよりずっと効率が高いです。 数年以来の整理と分析によって開発されたCisco 350-401J問題集は権威的で全面的です。 RoyalholidayclubbedのFINRAのMicrosoft MB-920試験トレーニング資料を見つけたら、これはあなたが購入しなければならないものを知ります。 Google Professional-Cloud-Database-Engineer - Royalholidayclubbedは同業の中でそんなに良い地位を取るの原因は弊社のかなり正確な試験の練習問題と解答そえに迅速の更新で、このようにとても良い成績がとられています。
Updated: May 26, 2022
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