FINRAのSeries63模擬体験試験を受けることは私の人生の挑戦の一つです。でも大丈夫です。OmgzlookのFINRAのSeries63模擬体験試験トレーニング資料を購入しましたから。 まだ何を待っていますか。早速買いに行きましょう。 これは多くの受験生たちによって証明されたことです。
Uniform Securities State Law Series63 それは正確性が高くて、カバー率も広いです。
OmgzlookはあなたがSeries63 - Uniform Securities Agent State Law Examination模擬体験認定試験に合格する保障ですから。 無料デモはあなたに安心で購入して、購入した後1年間の無料FINRAのSeries63 最新日本語版参考書試験の更新はあなたに安心で試験を準備することができます、あなたは確実に購入を休ませることができます私たちのソフトウェアを試してみてください。もちろん、我々はあなたに一番安心させるのは我々の開発する多くの受験生に合格させるFINRAのSeries63 最新日本語版参考書試験のソフトウェアです。
ですから、IT業界で勤めているあなたはプレッシャーを感じていませんか。学歴はどんなに高くてもあなたの実力を代表できません。学歴はただ踏み台だけで、あなたの地位を確保できる礎は実力です。
FINRA Series63模擬体験 - 我々はあなたに試験に安心させます。
あなたは無料でSeries63模擬体験復習教材をダウンロードしたいですか？もちろん、回答ははいです。だから、あなたはコンピューターでFINRAのウエブサイトを訪問してください。そうすれば、あなたは簡単にSeries63模擬体験復習教材のデモを無料でダウンロードできます。そして、あなたはSeries63模擬体験復習教材の三種類のデモをダウンロードできます。
私たちは、衝動買いは後悔することは容易であることを知っていますから、あなたはご購入の前にやってみるのを薦めます。FINRAのSeries63模擬体験試験のデモを我々ウェブサイトで無料でダウンロードできて、早く体験しましょう。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 4
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: 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.
IBM C1000-187 - 最もよくて最新で資料を提供いたします。 この目標を達成するために、我々はFINRAのAmazon SCS-C02-KR試験の資料を改善し続けてあなたに安心に利用させます。 FINRA EMC D-UN-DY-23「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA EMC D-UN-DY-23証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。 EXIN VERISME - 我々の社員は全日中で客様のお問い合わせをお待ちしております。 SAP C_TS412_2021-JPN - 今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。
Updated: May 26, 2022