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Series63最新試験 - Series63受験トレーリング、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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RoyalholidayclubbedのFINRAのSeries63最新試験認証試験について最新な研究を完成いたしました。無料な部分ダウンロードしてください。きっと君に失望させないと信じています。 これらの試験問題集は最新のSeries63最新試験試験のシラバスに従って作成されたものです。試験について最新の情報を伝えられます。 インターネットで時勢に遅れないSeries63最新試験勉強資料を提供するというサイトがあるかもしれませんが、Royalholidayclubbedはあなたに高品質かつ最新のFINRAのSeries63最新試験トレーニング資料を提供するユニークなサイトです。
Uniform Securities State Law Series63 まだ何を待っているのでしょうか？
Royalholidayclubbedが提供したFINRAのSeries63 - Uniform Securities Agent State Law Examination最新試験トレーニング資料を利用したら、FINRAのSeries63 - Uniform Securities Agent State Law Examination最新試験認定試験に受かることはたやすくなります。 私たちは君がRoyalholidayclubbedを選ぶことと正確性の高いFINRAのSeries63 最新対策問題問題集を祝っています。RoyalholidayclubbedのFINRAのSeries63 最新対策問題問題集が君の認定試験に合格するのに大変役に立ちます。
RoyalholidayclubbedのFINRAのSeries63最新試験試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。Royalholidayclubbedはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。あなたが自分のキャリアでの異なる条件で自身の利点を発揮することを助けられます。
その中で、FINRA Series63最新試験認定試験は最も重要な一つです。
我々は多くの受験生にFINRAのSeries63最新試験試験に合格させたことに自慢したことがないのです。IT業界での競争が激しいですから、我々は発展のために改善し続けなければなりません。だから、我々の専門家たちはタイムリーにFINRAのSeries63最新試験資料を更新していて、我々の商品を利用している受験生にFINRAのSeries63最新試験試験の変革とともに進めさせます。
早速買いに行きましょう。RoyalholidayclubbedのFINRAのSeries63最新試験試験トレーニング資料を使ったら、君のFINRAのSeries63最新試験認定試験に合格するという夢が叶えます。
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.
我々ISACA CISA-CN試験真題を暗記すれば、あなたはこの試験にパースすることができます。 RoyalholidayclubbedのFINRAのPeoplecert ITIL-4-Practitioner-Deployment-Management試験トレーニング資料はFINRAのPeoplecert ITIL-4-Practitioner-Deployment-Management認定試験を準備するのリーダーです。 短時間でISQI CTFL-AT試験に一発合格したいなら、我々社のFINRAのISQI CTFL-AT資料を参考しましょう。 もちろん、我々はあなたに一番安心させるのは我々の開発する多くの受験生に合格させるFINRAのSalesforce Financial-Services-Cloud試験のソフトウェアです。 あなたの資料を探す時間を節約し、FINRA AVIXA CTS試験の復習をやっています。
Updated: May 26, 2022
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