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Uniform Securities State Law Series63 Omgzlookを選んだら、成功への扉を開きます。
Uniform Securities State Law Series63最新対策問題 - Uniform Securities Agent State Law Examination 編成チュートリアルは授業コース、実践検定、試験エンジンと一部の無料なPDFダウンロードを含めています。 問題が更新される限り、Omgzlookは直ちに最新版のSeries63 トレーニング費用資料を送ってあげます。そうすると、あなたがいつでも最新バージョンの資料を持っていることが保証されます。
それも我々が全てのお客様に対する約束です。あなたはこのような人々の一人ですか。さまざまな資料とトレーニング授業を前にして、どれを選ぶか本当に困っているのです。
FINRA Series63最新対策問題 - 自分の幸せは自分で作るものだと思われます。
OmgzlookのSeries63最新対策問題試験参考書は他のSeries63最新対策問題試験に関連するする参考書よりずっと良いです。これは試験の一発合格を保証できる問題集ですから。この問題集の高い合格率が多くの受験生たちに証明されたのです。OmgzlookのSeries63最新対策問題問題集は成功へのショートカットです。この問題集を利用したら、あなたは試験に準備する時間を節約することができるだけでなく、試験で楽に高い点数を取ることもできます。
あなたは弊社の高品質FINRA Series63最新対策問題試験資料を利用して、一回に試験に合格します。OmgzlookのFINRA Series63最新対策問題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。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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.
QUESTION NO: 4
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: 5
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 3 years in prison, a $5,000 fine, or both
C. up to 5 years in prison and a fine of $1,500,000 or both
D. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
Answer: A
Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times the
amount of profits gained, or losses avoided.
第三に、OmgzlookのCisco 300-815問題集は試験の一発合格を保証し、もし受験生が試験に失敗すれば全額返金のことができます。 それで、我々社の無料のFINRA IBM C1000-188デモを参考して、あなたに相応しい問題集を入手します。 CompTIA CS0-003J - もし君はいささかな心配することがあるなら、あなたはうちの商品を購入する前に、Omgzlookは無料でサンプルを提供することができます。 多分、SAP C-TS4FI-2023テスト質問の数が伝統的な問題の数倍である。 OmgzlookのFINRAのSAP C_TS412_2021-JPN試験トレーニング資料は豊富な経験を持っている専門家が長年の研究を通じて開発されたものです。
Updated: May 26, 2022