あなたはSeries63資格勉強試験に不安を持っていますか？Series63資格勉強参考資料をご覧下さい。私たちのSeries63資格勉強参考資料は十年以上にわたり、専門家が何度も練習して、作られました。あなたに高品質で、全面的なSeries63資格勉強参考資料を提供することは私たちの責任です。 でも、弊社のSeries63資格勉強試験参考書は古くなることを心配する必要がないです。Series63資格勉強試験参考書は定期的に更新されますからです。 Omgzlookは専門のIT業界での評判が高くて、あなたがインターネットでOmgzlookの部分のFINRA Series63資格勉強「Uniform Securities Agent State Law Examination」資料を無料でダウンロードして、弊社の正確率を確認してください。
Uniform Securities State Law Series63 早くOmgzlookの問題集を君の手に入れましょう。
Uniform Securities State Law Series63資格勉強 - Uniform Securities Agent State Law Examination たくさんのひとは弊社の商品を使って、試験に順調に合格しました。 君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにOmgzlookを選択してください。Omgzlookはまた一年間に無料なサービスを更新いたします。
この情報の時代の中に、たくさんのIT機構はFINRAのSeries63資格勉強認定試験に関する教育資料がありますけれども、受験生がこれらのサイトを通じて詳細な資料を調べられなくて、対応性がなくて受験生の注意 に惹かれなりません。
FINRA Series63資格勉強 - そうすると、我々の信頼性をテストできます。
なぜ受験生のほとんどはOmgzlookを選んだのですか。それはOmgzlookがすごく便利で、広い通用性があるからです。OmgzlookのITエリートたちは彼らの専門的な目で、最新的なFINRAのSeries63資格勉強試験トレーニング資料に注目していて、うちのFINRAのSeries63資格勉強問題集の高い正確性を保証するのです。もし君はいささかな心配することがあるなら、あなたはうちの商品を購入する前に、Omgzlookは無料でサンプルを提供することができます。
インターネットでこんな高品質の資料を提供するサイトはOmgzlookしかないです。OmgzlookのFINRAのSeries63資格勉強試験トレーニング資料はIT認証試験を受ける人々の必需品です。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 4
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: 5
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.
FINRAのMicrosoft PL-600認定試験に合格することはきっと君の職業生涯の輝い将来に大変役に立ちます。 SAP C_C4H41_2405 - この試験の認証資格を取ったら、あなたは多くの利益を得ることができます。 我々Omgzlookは一番効果的な方法を探してあなたにFINRAのISACA CISA-CN試験に合格させます。 ISC CISSP - ですから、心のリラックスした状態で試験に出る問題を対応することができ、あなたの正常なレベルをプレイすることもできます。 Omgzlookは多くの受験生を助けて彼らにFINRAのSalesforce PDI-JPN試験に合格させることができるのは我々専門的なチームがFINRAのSalesforce PDI-JPN試験を研究して解答を詳しく分析しますから。
Updated: May 26, 2022