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Uniform Securities State Law Series63 アフターサービスは会社を評価する重要な基準です。
Uniform Securities State Law Series63予想試験 - Uniform Securities Agent State Law Examination 今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。 すべてのバーションは無料のデモを提供します。そのほかに、どのバーションでも全面的で最新版のFINRAのSeries63 ミシュレーション問題の資料を提供します。
試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。しかも、一年間の無料更新サービスを提供します。Omgzlookは実際の環境で本格的なFINRAのSeries63予想試験「Uniform Securities Agent State Law Examination」の試験の準備過程を提供しています。
FINRA Series63予想試験 - その夢は私にとってはるか遠いです。
最も少ない時間とお金でFINRA Series63予想試験認定試験に高いポイントを取得したいですか。短時間で一度に本当の認定試験に高いポイントを取得したいなら、我々OmgzlookのFINRA Series63予想試験日本語対策問題集は絶対にあなたへの最善なオプションです。このいいチャンスを把握して、OmgzlookのSeries63予想試験試験問題集の無料デモをダウンロードして勉強しましょう。
きっと望んでいるでしょう。では、常に自分自身をアップグレードする必要があります。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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
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: 5
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.
IIBA ECBA参考資料は多くの人の絶対いい選択です。 OmgzlookのCompTIA 220-1102J教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。 FINRA Oracle 1z1-819認証試験を通るために、いいツールが必要です。 しかし、Microsoft DP-203認定試験を受けて資格を得ることは自分の技能を高めてよりよく自分の価値を証明する良い方法ですから、選択しなければならならないです。 CompTIA SY0-701 - Omgzlookを選られば、成功しましょう。
Updated: May 26, 2022