Series63資格取得 - Series63試験関連赤本 & Uniform Securities Agent State Law Examination - Royalholidayclubbed

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FINRA Series63資格取得 - そのような人になりたいのですか。

自分のIT業界での発展を希望したら、FINRAのSeries63資格取得試験に合格する必要があります。FINRAのSeries63資格取得試験はいくつ難しくても文句を言わないで、我々Royalholidayclubbedの提供する資料を通して、あなたはFINRAのSeries63資格取得試験に合格することができます。FINRAのSeries63資格取得試験を準備しているあなたに試験に合格させるために、我々Royalholidayclubbedは模擬試験ソフトを更新し続けています。

FINRAのSeries63資格取得認定試験「Uniform Securities Agent State Law Examination」を受けたいのなら、試験の準備に関する全ての質問がRoyalholidayclubbedは解決して差し上げます。RoyalholidayclubbedはIT認証に対するプロなサイトです。

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
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
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.

それで、IT人材として毎日自分を充実して、NAHQ CPHQ問題集を学ぶ必要があります。 FINRAのSAP C-WME-2506試験トレーニング資料は受験生の皆さんが必要とした勉強資料です。現在IT技術会社に通勤しているあなたは、FINRAのHuawei H20-722_V1.0試験認定を取得しましたか？Huawei H20-722_V1.0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。 Amazon SAA-C03 - IT認定試験の認証資格は国際社会で広く認可されています。人によって目標が違いますが、あなたにFINRA　Microsoft SC-300J試験に順調に合格できるのは我々の共同の目標です。

Updated: May 26, 2022

by RHC.

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