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Uniform Securities State Law Series63 そうだったら、下記のものを読んでください。
このような受験生はSeries63 - Uniform Securities Agent State Law Examination資料的中率認定試験で高い点数を取得して、自分の構成ファイルは市場の需要と互換性があるように充分な準備をするのは必要です。 Omgzlookは君にとってベストな選択になります。ここには、私たちは君の需要に応じます。
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FINRA Series63資料的中率 - 我々の誠意を信じてください。
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自分のIT業界での発展を希望したら、FINRAのSeries63資料的中率試験に合格する必要があります。FINRAのSeries63資料的中率試験はいくつ難しくても文句を言わないで、我々Omgzlookの提供する資料を通して、あなたはFINRAのSeries63資料的中率試験に合格することができます。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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
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: 5
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.
Salesforce PDI-JPN - 同様にIT業界で働いていて、IT夢を持っているあなたは、きっと他の人にキャッチアップされ、追い抜かれることを望まないでしょう。 Microsoft AZ-801 - 心はもはや空しくなく、生活を美しくなります。 試験問題集が更新されると、Omgzlookは直ちにあなたのメールボックスにCompTIA XK0-005問題集の最新版を送ります。 短時間でJuniper JN0-280試験に一発合格したいなら、我々社のFINRAのJuniper JN0-280資料を参考しましょう。 Dell DC0-200 - 問題集に含まれているものは実際試験の問題を全部カバーすることができますから、あなたが一回で成功することを保証できます。
Updated: May 26, 2022