あなたの資料を探す時間を節約し、FINRA Series63最新関連参考書試験の復習をやっています。あなたに相応しいOmgzlook問題集を探していますか。Series63最新関連参考書試験備考資料の整理を悩んでいますか。 FINRAのSeries63最新関連参考書試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。我々の承諾だけでなく、お客様に最も全面的で最高のサービスを提供します。 Series63最新関連参考書資格認定試験に合格できるかどうかには、重要なのは正確の方法で、復習教材の量ではありません。
Uniform Securities State Law Series63 Omgzlookがありますから。
Uniform Securities State Law Series63最新関連参考書 - Uniform Securities Agent State Law Examination 夢を持ったら実現するために頑張ってください。 そのとき、あなたはまだ悲しいですか。いいえ、あなたはきっと非常に誇りに思うでしょう。
最近、FINRAのSeries63最新関連参考書試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。さて、はやく試験を申し込みましょう。
FINRA Series63最新関連参考書 - あなたの気に入る版を選ぶことができます。
競争力が激しい社会に当たり、我々Omgzlookは多くの受験生の中で大人気があるのは受験生の立場からFINRA Series63最新関連参考書試験資料をリリースすることです。たとえば、ベストセラーのFINRA Series63最新関連参考書問題集は過去のデータを分析して作成ます。ほんとんどお客様は我々OmgzlookのFINRA Series63最新関連参考書問題集を使用してから試験にうまく合格しましたのは弊社の試験資料の有効性と信頼性を説明できます。
試験が更新されているうちに、我々はFINRAのSeries63最新関連参考書試験の資料を更新し続けています。できるだけ100％の通過率を保証使用にしています。
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