あるいは、無料で試験Series63復習内容問題集を更新してあげるのを選択することもできます。こんな保障がありますから、心配する必要は全然ないですよ。OmgzlookのSeries63復習内容問題集は多くの受験生に検証されたものですから、高い成功率を保証できます。 しかし、幸いにして、Series63復習内容の練習問題の専門会社として、弊社の最も正確な質問と回答を含むSeries63復習内容試験の資料は、Series63復習内容試験対する問題を効果的に解決できます。Series63復習内容練習問題をちゃんと覚えると、Series63復習内容に合格できます。 なぜ受験生のほとんどはOmgzlookを選んだのですか。
Uniform Securities State Law Series63 「成功っていうのはどちらですか。
Omgzlookの専門家チームがFINRAのSeries63 - Uniform Securities Agent State Law Examination復習内容認証試験に対して最新の短期有効なトレーニングプログラムを研究しました。 もしIT認証の準備をしなかったら、あなたはのんびりできますか。もちろんです。
きっと君に失望させないと信じています。最新FINRAのSeries63復習内容認定試験は真実の試験問題にもっとも近くて比較的に全面的でございます。OmgzlookのFINRAのSeries63復習内容認証試験について最新な研究を完成いたしました。
FINRA Series63復習内容 - あなたはきっとこのような人でしょう。
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復習内容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。インターネットで時勢に遅れないSeries63復習内容勉強資料を提供するというサイトがあるかもしれませんが、Omgzlookはあなたに高品質かつ最新のFINRAのSeries63復習内容トレーニング資料を提供するユニークなサイトです。Omgzlookの勉強資料とFINRAのSeries63復習内容に関する指導を従えば、初めてFINRAのSeries63復習内容認定試験を受けるあなたでも一回で試験に合格することができます。
この問題集は実際試験に出る可能性があるすべての問題を含んでいます。したがって、この問題集をまじめに勉強する限り、試験に合格することが朝飯前のことになることができます。
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
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
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: 4
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: 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