OmgzlookのFINRAのSeries63テスト対策書トレーニング資料即ち問題と解答をダウンロードする限り、気楽に試験に受かることができるようになります。まだ困っていたら、我々の試用版を使ってみてください。ためらわずに速くあなたのショッピングカートに入れてください。 このサイトを深く知ったほうがいいですよ。それに、試験に失敗すれば全額返金のポリシーについて、事前に調べたほうがいいです。 Omgzlookはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。
Uniform Securities State Law Series63 Omgzlookを選び、成功を選ぶのに等しいです。
真剣にOmgzlookのFINRA Series63 - Uniform Securities Agent State Law Examinationテスト対策書問題集を勉強する限り、受験したい試験に楽に合格することができるということです。 Omgzlookの FINRAのSeries63 資料的中率試験トレーニング資料を手に入れるなら、あなたは最も新しいFINRAのSeries63 資料的中率学習教材を手に入れられます。Omgzlookの 学習教材の高い正確性は君がFINRAのSeries63 資料的中率認定試験に合格するのを保証します。
がむしゃらに試験に関連する知識を勉強しているのですか。それとも、効率が良い試験Series63テスト対策書参考書を使っているのですか。FINRAの認証資格は最近ますます人気になっていますね。
FINRAのFINRA Series63テスト対策書試験にとってはそうではない。
OmgzlookのFINRAのSeries63テスト対策書試験トレーニング資料はFINRAのSeries63テスト対策書認定試験を準備するのリーダーです。Omgzlookの FINRAのSeries63テスト対策書試験トレーニング資料は高度に認証されたIT領域の専門家の経験と創造を含めているものです。それは正確性が高くて、カバー率も広いです。あなたはOmgzlookの学習教材を購入した後、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。
IT業界で働いているあなたにとってのFINRAのSeries63テスト対策書試験の重要性を知っていますから、我々はあなたを助けられるFINRAのSeries63テスト対策書ソフトを開発しました。我々はあなたにすべての資料を探して科学的に分析しました。
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.
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Updated: May 26, 2022