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Series63試験概要、Series63過去問 - Finra Series63模擬問題集 - Royalholidayclubbed
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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試験概要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。君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにRoyalholidayclubbedを選択してください。Royalholidayclubbedはまた一年間に無料なサービスを更新いたします。 Royalholidayclubbedは君の試験に合格させるだけでなく本当の知識を学ばれます。Royalholidayclubbedはあなたが100% でSeries63試験概要試験に合格させるの保証することができてまたあなたのために一年の無料の試験の練習問題と解答の更新サービス提供して、もし試験に失敗したら、弊社はすぐ全額で返金を保証いたします。 弊社のSeries63試験概要のトレーニング資料を買ったら、一年間の無料更新サービスを差し上げます。
Uniform Securities State Law Series63 Royalholidayclubbedには専門的なエリート団体があります。
そうしたらあなたがFINRAのSeries63 - Uniform Securities Agent State Law Examination試験概要認定試験にもっと自信を増加して、もし失敗したら、全額で返金いたします。 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。
もし弊社のFINRAのSeries63試験概要「Uniform Securities Agent State Law Examination」認証試験について問題集に興味があったら、購入するまえにインターネットで弊社が提供した無料な部分問題集をダウンロードして、君の試験に役に立つかどうかのを自分が判断してください。それにRoyalholidayclubbedは一年の無料な更新のサービスを提供いたします。
FINRA Series63試験概要 - Royalholidayclubbedを選んだら、成功への扉を開きます。
Royalholidayclubbedは異なるトレーニングツールと資源を提供してあなたのFINRAのSeries63試験概要の認証試験の準備にヘルプを差し上げます。編成チュートリアルは授業コース、実践検定、試験エンジンと一部の無料なPDFダウンロードを含めています。
問題が更新される限り、Royalholidayclubbedは直ちに最新版のSeries63試験概要資料を送ってあげます。そうすると、あなたがいつでも最新バージョンの資料を持っていることが保証されます。
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
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.
QUESTION NO: 5
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.
CIDQ IDPX - それも我々が全てのお客様に対する約束です。 RoyalholidayclubbedのMicrosoft AI-900J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。 FINRAのSalesforce Financial-Services-Cloud認定試験に合格したいのなら、Royalholidayclubbedが提供したFINRAのSalesforce Financial-Services-Cloudトレーニング資料をショッピングカートに入れましょう。 RoyalholidayclubbedのITエリートたちは彼らの専門的な目で、最新的なFINRAのEMC NCP-AII試験トレーニング資料に注目していて、うちのFINRAのEMC NCP-AII問題集の高い正確性を保証するのです。 Huawei H19-638_V1.0 - Royalholidayclubbedが提供した製品がIT専門家は実際の経験を活かして作った最も良い製品で、あなたが自分の目標を達成するようにずっと一生懸命頑張っています。
Updated: May 26, 2022
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