どんな業界で自分に良い昇進機会があると希望する職人がとても多いと思って、IT業界にも例外ではありません。ITの専門者はFINRAのSeries63基礎訓練認定試験があなたの願望を助けって実現できるのがよく分かります。Omgzlookはあなたの夢に実現させるサイトでございます。 我々社のFINRA Series63基礎訓練問題集とサーブすが多くの人々に認められます。最近、FINRA Series63基礎訓練問題集は通過率が高いなので大人気になります。 Omgzlookの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries63基礎訓練認定試験対策模擬テスト問題集が研究しました。
Uniform Securities State Law Series63 無料な部分ダウンロードしてください。
Uniform Securities State Law Series63基礎訓練 - Uniform Securities Agent State Law Examination Omgzlookは君にとってベストな選択になります。 FINRAのSeries63 試験問題認証試験は世界でどの国でも承認されて、すべての国が分け隔てをしないの試験です。Omgzlook のFINRAのSeries63 試験問題認証証明書はあなたが自分の知識と技能を高めることに助けになれることだけでなく、さまざまな条件であなたのキャリアを助けることもできます。
OmgzlookのFINRAのSeries63基礎訓練試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。その権威性は言うまでもありません。うちのFINRAのSeries63基礎訓練試験トレーニング資料を購入する前に、Omgzlookのサイトで、一部分のフリーな試験問題と解答をダンロードでき、試用してみます。
FINRA Series63基礎訓練 - 心はもはや空しくなく、生活を美しくなります。
FINRAのSeries63基礎訓練認定試験はIT職員が欠くことができない認証です。IT職員のキャリアと関連しますから。 FINRAのSeries63基礎訓練試験トレーニング資料は受験生の皆さんが必要とした勉強資料です。Omgzlookのトレーニング資料は受験生が一番ほしい唯一なトレーニング資料です。OmgzlookのFINRAのSeries63基礎訓練試験トレーニング資料を手に入れたら、試験に合格することができるようになります。
現在IT技術会社に通勤しているあなたは、FINRAのSeries63基礎訓練試験認定を取得しましたか？Series63基礎訓練試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63基礎訓練試験に一発合格したいなら、我々社のFINRAのSeries63基礎訓練資料を参考しましょう。
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