Series63試験勉強過去問 & Finra Uniform Securities Agent State Law Examination合格対策 - Royalholidayclubbed

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我々Royalholidayclubbedは一番行き届いたアフタサービスを提供します。FINRA　Series63試験勉強過去問試験問題集を購買してから、一年間の無料更新を楽しみにしています。あなたにFINRA　Series63試験勉強過去問試験に関する最新かつ最完備の資料を勉強させ、試験に合格させることだと信じます。この問題集の価値は試験に関連する他の参考書の総合の価値に相当します。このアサーションは過言ではありません。我々社サイトのFINRA　Series63試験勉強過去問問題庫は最新かつ最完備な勉強資料を有して、あなたに高品質のサービスを提供するのはSeries63試験勉強過去問資格認定試験の成功にとって唯一の選択です。

Uniform Securities State Law Series63 」とゴーリキーは述べました。

弊社のSeries63 - Uniform Securities Agent State Law Examination試験勉強過去問試験問題集によって、あなたの心と精神の満足度を向上させながら、勉強した後Series63 - Uniform Securities Agent State Law Examination試験勉強過去問試験資格認定書を受け取って努力する人生はすばらしいことであると認識られます。 IT業種で仕事しているあなたは、夢を達成するためにどんな方法を利用するつもりですか。実際には、IT認定試験を受験して認証資格を取るのは一つの良い方法です。

FINRA　Series63試験勉強過去問試験問題集を購買してから、一年間の無料更新を楽しみにしています。あなたにFINRA　Series63試験勉強過去問試験に関する最新かつ最完備の資料を勉強させ、試験に合格させることだと信じます。もしあなたはSeries63試験勉強過去問試験に合格しなかったら、全額返金のことを承諾します。

FINRA Series63試験勉強過去問 - 給料を倍増させることも不可能ではないです。

RoyalholidayclubbedのFINRAのSeries63試験勉強過去問の試験問題は同じシラバスに従って、実際のFINRAのSeries63試験勉強過去問認証試験にも従っています。弊社はずっとトレーニング資料をアップグレードしていますから、提供して差し上げた製品は一年間の無料更新サービスの景品があります。あなたはいつでもサブスクリプションの期間を延長することができますから、より多くの時間を取って充分に試験を準備できます。Royalholidayclubbedというサイトのトレーニング資料を利用するかどうかがまだ決まっていなかったら、Royalholidayclubbedのウェブで一部の試験問題と解答を無料にダウンローしてみることができます。あなたに向いていることを確かめてから買うのも遅くないですよ。あなたが決して後悔しないことを保証します。

ですから、IT業界で仕事している皆さんはFINRAの認定試験を受験して資格を取得することを通して、彼らの知識やスキルを向上させます。Series63試験勉強過去問認定試験はFINRAの最も重要な試験の一つです。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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
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: 5
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.

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Updated: May 26, 2022

by RHC.

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