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Series63模擬練習 - Series63日本語版参考資料、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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それに、毎日仕事で忙しいあなたは、恐らく試験に準備する充分な時間がないでしょう。では、RoyalholidayclubbedのSeries63模擬練習問題集を試しましょう。この試験参考書はきっとあなたに思えぬ良い結果を与えられます。 現在、FINRAのSeries63模擬練習認定試験に受かりたいIT専門人員がたくさんいます。Royalholidayclubbedの試験トレーニング資料はFINRAのSeries63模擬練習認定試験の１００パーセントの合格率を保証します。 それはRoyalholidayclubbedはたしかに受験生の皆さんを大量な時間を節約させ、順調に試験に合格させることができますから。
Uniform Securities State Law Series63 Royalholidayclubbedは君にとってベストな選択になります。
あなたは弊社を選ぶとき、FINRAのSeries63 - Uniform Securities Agent State Law Examination模擬練習試験に合格する最高の方法を選びます。 うちのFINRAのSeries63 合格率試験トレーニング資料を購入する前に、Royalholidayclubbedのサイトで、一部分のフリーな試験問題と解答をダンロードでき、試用してみます。君がうち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。
もっと多くの認可と就職機会を貰いたいのですか。FINRAのSeries63模擬練習試験はあなたの必要のある証明です。IT業界でのほとんどの人はFINRAのSeries63模擬練習試験の重要性を知っています。
FINRA Series63模擬練習 - 心はもはや空しくなく、生活を美しくなります。
弊社のSeries63模擬練習問題集の購入について、決済手段は決済手段はpaypalによるお支払いでございますが、クレジットカードはpaypalにつながることができますから、クレジットカードの方もお支払いのこともできますということでございます。paypal支払い方法は安全な決済手段のために、お客様の利益を保証できます。RoyalholidayclubbedのSeries63模擬練習問題集を購入してpaypalで支払われることができます。
また、Series63模擬練習問題集に疑問があると、メールで問い合わせてください。現在IT技術会社に通勤しているあなたは、FINRAのSeries63模擬練習試験認定を取得しましたか？Series63模擬練習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。
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
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
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: 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
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.
我々社のFINRA SAP C_TS410_2504問題集を使用して試験に合格しないで全額での返金を承諾するのは弊社の商品に不自信ではなく、行為でもって我々の誠意を示します。 人によって目標が違いますが、あなたにFINRA Amazon AWS-Certified-Machine-Learning-Specialty-JPN試験に順調に合格できるのは我々の共同の目標です。 そして、もしHuawei H13-321_V2.0問題集の更新版があれば、お客様にお送りいたします。 あなたに高品質で、全面的なMicrosoft AZ-400J参考資料を提供することは私たちの責任です。 世界の激しい変化によって、CompTIA CAS-005試験の内容も変わっています。
Updated: May 26, 2022
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