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Series63赤本合格率、Series63過去問 - Finra Series63模擬問題集 - Royalholidayclubbed
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RoyalholidayclubbedはFINRAのSeries63赤本合格率認定試験「Uniform Securities Agent State Law Examination」に向けてもっともよい問題集を研究しています。もしほかのホームページに弊社みたいな問題集を見れば、あとでみ続けて、弊社の商品を盗作することとよくわかります。Royalholidayclubbedが提供した資料は最も全面的で、しかも更新の最も速いです。 そうしたらあなたはRoyalholidayclubbedが用意した問題集にもっと自信があります。早くRoyalholidayclubbedの問題集を君の手に入れましょう。 Royalholidayclubbedの問題集は最大のお得だね！
Uniform Securities State Law Series63 機会が一回だけありますよ。
Uniform Securities State Law Series63赤本合格率 - Uniform Securities Agent State Law Examination もっと長い時間をもらって試験を準備したいのなら、あなたがいつでもサブスクリプションの期間を伸びることができます。 Royalholidayclubbedはあなたが次のFINRAのSeries63 復習解答例認定試験に合格するように最も信頼できるトレーニングツールを提供します。RoyalholidayclubbedのFINRAのSeries63 復習解答例勉強資料は問題と解答を含めています。
あなたに成功に近づいて、夢の楽園に一歩一歩進めさせられます。Royalholidayclubbed FINRAのSeries63赤本合格率試験トレーニング資料というのは一体なんでしょうか。FINRAのSeries63赤本合格率試験トレーニングソースを提供するサイトがたくさんありますが、Royalholidayclubbedは最実用な資料を提供します。
FINRA Series63赤本合格率 - きっと棚ぼたがありますよ。
RoyalholidayclubbedのFINRAのSeries63赤本合格率試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。それはあなたがいつでも最新の試験資料を持てるということです。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。
我々の知名度はとても高いです。これは受験生の皆さんが資料を利用した後の結果です。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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.
RoyalholidayclubbedのFINRAのMicrosoft SC-200J試験トレーニング資料は最高のトレーニング資料です。 RoyalholidayclubbedのFINRAのMicrosoft MS-102J「Uniform Securities Agent State Law Examination」試験問題集はあなたが成功へのショートカットを与えます。 HP HPE6-A78 - 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。 CheckPoint 156-587 - したがって、Royalholidayclubbedは優れた参考書を提供して、みなさんのニーズを満たすことができます。 RoyalholidayclubbedのAmazon CLF-C02-KR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。
Updated: May 26, 2022
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