OmgzlookのFINRA Series63基礎訓練問題集は専門家たちが数年間で過去のデータから分析して作成されて、試験にカバーする範囲は広くて、受験生の皆様のお金と時間を節約します。我々Series63基礎訓練問題集の通過率は高いので、90％の合格率を保証します。あなたは弊社の高品質FINRA Series63基礎訓練試験資料を利用して、一回に試験に合格します。 第一に、OmgzlookのSeries63基礎訓練問題集はIT領域の専門家達が長年の経験を活かして作成されたもので、試験の出題範囲を正確に絞ることができます。第二に、OmgzlookのSeries63基礎訓練問題集は実際試験に出題される可能性がある問題を全部含んいます。 IT職員のあなたは毎月毎月のあまり少ない給料を持っていますが、暇の時間でひたすら楽しむんでいいですか。
Uniform Securities State Law Series63 きっと君に失望させないと信じています。
Uniform Securities State Law Series63基礎訓練 - Uniform Securities Agent State Law Examination このインターネット時代において、社会の発展とともに、コストがより低くて内容が完全な情報が不可欠です。 我々は受験生の皆様により高いスピードを持っているかつ効率的なサービスを提供することにずっと力を尽くしていますから、あなたが貴重な時間を節約することに助けを差し上げます。Omgzlook FINRAのSeries63 試験関連赤本試験問題集はあなたに問題と解答に含まれている大量なテストガイドを提供しています。
我々OmgzlookはFINRAのSeries63基礎訓練試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。また、我々はさらに認可を受けられるために、皆様の一切の要求を満足できて喜ぶ気持ちでずっと協力し、完備かつ精確のSeries63基礎訓練試験問題集を開発するのに準備します。
FINRA Series63基礎訓練 - 素晴らしい試験参考書です。
IT認定試験の中でどんな試験を受けても、OmgzlookのSeries63基礎訓練試験参考資料はあなたに大きなヘルプを与えることができます。それは OmgzlookのSeries63基礎訓練問題集には実際の試験に出題される可能性がある問題をすべて含んでいて、しかもあなたをよりよく問題を理解させるように詳しい解析を与えますから。真剣にOmgzlookのFINRA Series63基礎訓練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。
弊社は強力な教師チームがあって、彼たちは正確ではやくて例年のFINRA Series63基礎訓練認定試験の資料を整理して、直ちにもっとも最新の資料を集めて、弊社は全会一緻で認められています。FINRA Series63基礎訓練試験認証に合格確率はとても小さいですが、Omgzlookはその合格確率を高めることが信じてくだい。
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
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: 3
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: 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.
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Updated: May 26, 2022