Series63資格専門知識 & Finra Uniform Securities Agent State Law Examination日本語対策問題集 - Royalholidayclubbed

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Royalholidayclubbedから大変助かりました。」と感謝します。あなたの支持こそ我々は最も高品質のFINRA　Series63資格専門知識問題集を開発して努力します。君がFINRAのSeries63資格専門知識問題集を購入したら、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。もしFINRAのSeries63資格専門知識問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 70％の問題は解説がありますし、試験の内容を理解しやすいと助けます。

そして、Series63資格専門知識問題集は安くて、便利です。

Uniform Securities State Law Series63資格専門知識 - Uniform Securities Agent State Law Examination これをよくできるために、我々は全日24時間のサービスを提供します。でも、FINRA　Series63 科目対策復習教材を選ばれば、試験に合格することは簡単です。Series63 科目対策復習教材の内容は全面的で、価格は合理的です。

すべては豊富な内容があって各自のメリットを持っています。あなたは各バーションのFINRAのSeries63資格専門知識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資格専門知識試験に合格したいのですか。

FINRA Series63資格専門知識 - あなたは最高のトレーニング資料を手に入れました。

近年、IT領域で競争がますます激しくなります。IT認証は同業種の欠くことができないものになりました。あなたはキャリアで良い昇進のチャンスを持ちたいのなら、RoyalholidayclubbedのFINRAのSeries63資格専門知識「Uniform Securities Agent State Law Examination」試験トレーニング資料を利用してFINRAの認証の証明書を取ることは良い方法です。現在、FINRAのSeries63資格専門知識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資格専門知識認定試験の１００パーセントの合格率を保証します。

ITが好きですか。ITを通して自分の実力を証明したいのですか。

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
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: 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
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: 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.

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Updated: May 26, 2022

by RHC.

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