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Series63模擬問題集 - Series63日本語関連対策 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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一回だけでFINRAのSeries63模擬問題集試験に合格したい？Royalholidayclubbedは君の欲求を満たすために存在するのです。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。 購入した前にFINRAのSeries63模擬問題集ソフトのような商品の適用性をあなたに感じさせるために、我々はFINRAのSeries63模擬問題集ソフトのデモを提供して、あなたはRoyalholidayclubbedで無料でダウンロードして体験できます。何か疑問があれば、我々の係員を問い合わせたり、メールで我々を連絡したりすることができます。 RoyalholidayclubbedのFINRAのSeries63模擬問題集試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。
Uniform Securities State Law Series63 この世界は毎日変わっています。
Uniform Securities State Law Series63模擬問題集 - Uniform Securities Agent State Law Examination Royalholidayclubbedはきみの貴重な時間を節約するだけでなく、 安心で順調に試験に合格するのを保証します。 RoyalholidayclubbedにIT業界のエリートのグループがあって、彼達は自分の経験と専門知識を使ってFINRA Series63 資格認定試験認証試験に参加する方に対して問題集を研究続けています。
Royalholidayclubbed を選択して１００％の合格率を確保することができて、もし試験に失敗したら、Royalholidayclubbedが全額で返金いたします。
FINRA Series63模擬問題集 - あなたが決して後悔しないことを保証します。
RoyalholidayclubbedのFINRAのSeries63模擬問題集試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。それはあなたがいつでも最新の試験資料を持てるということです。試験の目標が変わる限り、あるいは我々の勉強資料が変わる限り、すぐに更新して差し上げます。あなたのニーズをよく知っていていますから、あなたに試験に合格する自信を与えます。
RoyalholidayclubbedのFINRAのSeries63模擬問題集問題集を買う前に、一部の問題と解答を無料にダウンロードすることができます。PDFのバージョンとソフトウェアのバージョンがありますから、ソフトウェアのバージョンを必要としたら、弊社のカスタマーサービススタッフから取得してください。
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.
RoyalholidayclubbedのFINRAのAmazon SOA-C02-KR試験トレーニング資料は最高のトレーニング資料です。 RoyalholidayclubbedはすべてのFINRAのISACA CCOA試験に受かるための資料に含まれていますから。 Cisco 200-301J - IT技術の急速な発展につれて、IT認証試験の問題は常に変更されています。 Salesforce OmniStudio-Developer-JPN - あなたは試験の準備をするときに見当もつかないかもしれません。 RoyalholidayclubbedのCisco 300-410問題集は多くの受験生に検証されたものですから、高い成功率を保証できます。
Updated: May 26, 2022
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