FINRAのSeries63試験概要資格認定証明書を持つ人は会社のリーダーからご格別のお引き立てを賜ったり、仕事の昇進をたやすくなったりしています。これなので、今から我々社OmgzlookのSeries63試験概要試験に合格するのに努力していきます。弊社のFINRAのSeries63試験概要真題によって、資格認定証明書を受け取れて、仕事の昇進を実現できます。 試験の準備をするためにOmgzlookのFINRAのSeries63試験概要試験トレーニング資料を買うのは冒険的行為と思ったとしたら、あなたの人生の全てが冒険なことになります。一番遠いところへ行った人はリスクを背負うことを恐れない人です。 同時に、Series63試験概要資格認証を受け入れるのは傾向になります。
その中で、Series63試験概要認定試験は最も重要な一つです。
Uniform Securities State Law Series63試験概要 - Uniform Securities Agent State Law Examination また、弊社はいいサービスを提供します。 なぜなら、それはFINRAのSeries63 認定資格認定試験に関する必要なものを含まれるからです。Omgzlookを選んだら、あなたは簡単に認定試験に合格することができますし、あなたはITエリートたちの一人になることもできます。
そして、あなたはSeries63試験概要復習教材の三種類のデモをダウンロードできます。あなたは無料でSeries63試験概要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。
FINRA Series63試験概要 - 」とゴーリキーは述べました。
FINRAのSeries63試験概要試験に合格するのに、私たちは最も早い時間で合格するのを追求します。私たちはお客様のための利益を求めるのを追求します。私たちはOmgzlookです。OmgzlookはFINRAのSeries63試験概要問題集の正確性と高いカバー率を保証します。FINRAのSeries63試験概要問題集を購入したら、Omgzlookは一年間で無料更新サービスを提供することができます。は
最近、FINRAのSeries63試験概要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。
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 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: 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.
しかし、FINRAのNAHQ CPHQ認定試験に合格するという夢は、Omgzlookに対して、絶対に掴められます。 ISACA CISA-KR - あなたは試験の最新バージョンを提供することを要求することもできます。 最も早い時間でFINRAのCompTIA 220-1101認定試験に合格したいなら、OmgzlookのFINRAのCompTIA 220-1101試験トレーニング資料を利用すればいいです。 Salesforce PDI - もちろんありますよ。 Microsoft AZ-140J - 弊社の開発したソフトは非常に全面的です。
Updated: May 26, 2022