OmgzlookはIT認定試験のSeries63勉強資料問題集を提供して皆さんを助けるウエブサイトです。Omgzlookは先輩の経験を生かして暦年の試験の材料を編集することを通して、最高のSeries63勉強資料問題集を作成しました。問題集に含まれているものは実際試験の問題を全部カバーすることができますから、あなたが一回で成功することを保証できます。 人によって目標が違いますが、あなたにFINRA Series63勉強資料試験に順調に合格できるのは我々の共同の目標です。この目標の達成はあなたがIT技術領域へ行く更なる発展の一歩ですけど、我々社Omgzlook存在するこそすべての意義です。 うちのFINRAのSeries63勉強資料学習教材はOmgzlookのIT専門家たちが研究して、実践して開発されたものです。
Uniform Securities State Law Series63 Omgzlookには専門的なエリート団体があります。
Uniform Securities State Law Series63勉強資料 - Uniform Securities Agent State Law Examination 商品の税金について、この問題を心配できません。 OmgzlookのFINRAのSeries63 資格受験料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。
この問題に心配する必要がありませんし、我々社の無料に提供するFINRA Series63勉強資料PDF版を直接にダウンロードし、事前に体験できます。何か問題があると、ライブチャットとメールで問い合わせます。我々SiteName}を選択するとき、FINRA Series63勉強資料試験にうまく合格できるチャンスを捉えるといえます。
FINRA Series63勉強資料 - 正しい方法は大切です。
Omgzlookの経験豊富な専門家チームはFINRAのSeries63勉強資料認定試験に向かって専門性の問題集を作って、とても受験生に合っています。Omgzlookの商品はIT業界中で高品質で低価格で君の試験のために専門に研究したものでございます。
できるだけ100％の通過率を保証使用にしています。Omgzlookは多くの受験生を助けて彼らにFINRAのSeries63勉強資料試験に合格させることができるのは我々専門的なチームがFINRAのSeries63勉強資料試験を研究して解答を詳しく分析しますから。
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