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Series63日本語練習問題、Finra Series63問題と解答 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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Royalholidayclubbedは専門的なIT認証サイトで、成功率が１００パーセントです。これは多くの受験生に証明されたことです。RoyalholidayclubbedにはIT専門家が組み立てられた団体があります。 その中で、Series63日本語練習問題認定試験は最も重要な一つです。では、この試験に合格するためにどのように試験の準備をしているのですか。 FINRAのSeries63日本語練習問題試験を受けることは私の人生の挑戦の一つです。
Uniform Securities State Law Series63 まだ何を待っていますか。
Uniform Securities State Law Series63日本語練習問題 - Uniform Securities Agent State Law Examination そうすると、きっと私の言葉を信じるようになります。 それは正確性が高くて、カバー率も広いです。あなたはRoyalholidayclubbedの学習教材を購入した後、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。
RoyalholidayclubbedはあなたがSeries63日本語練習問題認定試験に合格する保障ですから。IT業界で仕事している皆さんはIT認定試験の資格の重要性をよく知っていているでしょう。IT認定試験には多くの種類があります。
FINRA Series63日本語練習問題 - こうして、君は安心で試験の準備を行ってください。
あなたにFINRAのSeries63日本語練習問題試験に合格できるのは我々の努力への最大の認可です。この目標を達成するために、我々はFINRAのSeries63日本語練習問題試験の資料を改善し続けてあなたに安心に利用させます。我々の商品とサービスに疑問があったら、我々Royalholidayclubbedのウェブ・サイトで問い合わせたり、メールで我々と連絡したりすることができます。あなたの購入してから、FINRAのSeries63日本語練習問題試験ソフトが更新されたら、我々はメールであなたを通知します。
FINRA Series63日本語練習問題「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日本語練習問題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。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。
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
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: 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.
あなたはRoyalholidayclubbedのMicrosoft AZ-104-KR問題集について、何の質問があると、メールで我々のメールアドレスに送ったりすることができます。 CompTIA SK0-005J - 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。 この悩みに対して、我々社RoyalholidayclubbedはFINRAのCIPS L5M4試験に準備するあなたに専門的なヘルプを与えられます。 Huawei H19-301_V3.0 - 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。 弊社の高品質の試験問題集を通して、あなたにFINRA VMware 250-609試験似合格させ、あなたのIT技能と職業生涯を新たなレベルに押し進めるのは我々の使命です。
Updated: May 26, 2022
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