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Series63科目対策 - Series63模擬トレーリング、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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我々のソフトを利用してFINRAのSeries63科目対策試験に合格するのは全然問題ないです。あなたは今FINRAのSeries63科目対策試験のために準備していますか。そうであれば、あなたは夢がある人だと思います。 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。 我々はほぼ100％の通過率であなたに安心させます。
そして、Series63科目対策問題集は安くて、便利です。
Uniform Securities State Law Series63科目対策 - Uniform Securities Agent State Law Examination 試験に失敗したら、全額で返金する承諾があります。 そして、FINRAはお客様にディスカウントコードを提供でき、Series63 最新対策問題復習教材をより安く購入できます。Series63 最新対策問題試験資格証明書を取得することは難しいです。
あなたは各バーションのFINRAのSeries63科目対策試験の資料をダウンロードしてみることができ、あなたに一番ふさわしいバーションを見つけることができます。暇な時間だけでFINRAのSeries63科目対策試験に合格したいのですか。我々の提供するPDF版のFINRAのSeries63科目対策試験の資料はあなたにいつでもどこでも読めさせます。
FINRA Series63科目対策 - 「今の生活と仕事は我慢できない。
Royalholidayclubbedは優れたIT情報のソースを提供するサイトです。Royalholidayclubbedで、あなたの試験のためのテクニックと勉強資料を見つけることができます。RoyalholidayclubbedのFINRAのSeries63科目対策試験トレーニング資料は豊富な知識と経験を持っているIT専門家に研究された成果で、正確度がとても高いです。Royalholidayclubbedに会ったら、最高のトレーニング資料を見つけました。RoyalholidayclubbedのFINRAのSeries63科目対策試験トレーニング資料を持っていたら、試験に対する充分の準備がありますから、安心に利用したください。
真剣にRoyalholidayclubbedのFINRA Series63科目対策問題集を勉強する限り、受験したい試験に楽に合格することができるということです。IT認定試験の中でどんな試験を受けても、RoyalholidayclubbedのSeries63科目対策試験参考資料はあなたに大きなヘルプを与えることができます。
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
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
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: 4
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: 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.
IFSE Institute LLQP - RoyalholidayclubbedはIT認定試験を受験した多くの人々を助けました。 RoyalholidayclubbedのApple DEP-2025問題集はあなたに試験に合格する自信を与えて、楽に試験を受けさせます。 それはRoyalholidayclubbedのACAMS CAMS-KR問題集です。 Microsoft DP-203 - それは正確的な試験の内容を保証しますし、良いサービスで、安い価格で営業します。 ACAMS CAMS - ここには、私たちは君の需要に応じます。
Updated: May 26, 2022
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