Series63試験対策書試験に対して、いろいろな資料があります。そのような資料を勉強するには、長い時間がかかります。でも、Series63試験対策書問題集を利用すれば、短い時間でSeries63試験対策書試験に合格できます。 これをよくできるために、我々は全日24時間のサービスを提供します。FINRAのSeries63試験対策書ソフトを購入してから一年間の無料更新サービスも提供します。 でも、FINRA Series63試験対策書復習教材を選ばれば、試験に合格することは簡単です。
Uniform Securities State Law Series63 我々もオンライン版とソフト版を提供します。
FINRAのSeries63 - Uniform Securities Agent State Law Examination試験対策書の認定試験は君の実力を考察するテストでございます。 我々OmgzlookはFINRAのSeries63 日本語版サンプル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 日本語版サンプル試験問題集を開発するのに準備します。
彼らはOmgzlookの問題集が有効なこと確認しました。Omgzlookが提供しておりますのは専門家チームの研究した問題と真題で弊社の高い名誉はたぶり信頼をうけられます。安心で弊社の商品を使うために無料なサンブルをダウンロードしてください。
FINRA Series63試験対策書 - あなたは最高のトレーニング資料を手に入れました。
近年、IT領域で競争がますます激しくなります。IT認証は同業種の欠くことができないものになりました。あなたはキャリアで良い昇進のチャンスを持ちたいのなら、OmgzlookのFINRAのSeries63試験対策書「Uniform Securities Agent State Law Examination」試験トレーニング資料を利用してFINRAの認証の証明書を取ることは良い方法です。現在、FINRAのSeries63試験対策書認定試験に受かりたいIT専門人員がたくさんいます。Omgzlookの試験トレーニング資料はFINRAのSeries63試験対策書認定試験の１００パーセントの合格率を保証します。
それは問題ではないですよ。あなたはOmgzlookのSeries63試験対策書問題集を利用することができますから。
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.
OmgzlookのFINRAのSalesforce Sales-Cloud-Consultant試験トレーニング資料を持っていたら、試験に対する充分の準備がありますから、安心に利用したください。 IT認定試験の中でどんな試験を受けても、OmgzlookのISACA CISA-JPN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。 SAP C-HAMOD-2404 - これは試験の準備をするために非常に効率的なツールですから。 TeraData TDVCL2 - この問題集を利用する限り、Omgzlookは奇跡を見せることができます。 IBM C1000-189 - そうだったら、下記のものを読んでください。
Updated: May 26, 2022