多くの時間と労力をかかってFINRAのSeries63資格復習テキスト認定試験に合格するを冒険にすると代わりOmgzlookが提供した問題集を利用してわずか一度お金かかって合格するのは価値があるでしょう。今の社会の中で時間がそんなに重要で最も保障できるOmgzlookを選ばましょう。 FINRAのSeries63資格復習テキスト試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でOmgzlookは君の試験の問題を準備してしまいました。君の初めての合格を目標にします。 試験に失敗したら、全額で返金いたします。
それはOmgzlookのSeries63資格復習テキスト問題集です。
Uniform Securities State Law Series63資格復習テキスト - Uniform Securities Agent State Law Examination Omgzlookは試験に失敗すれば全額返金を保証します。 もし不合格になったら、私たちは全額返金することを保証します。一回だけでFINRAのSeries63 テスト資料試験に合格したい？Omgzlookは君の欲求を満たすために存在するのです。
この資料を使用すると、あなたの学習効率を向上させ、多くの時間を節約することができます。OmgzlookのSeries63資格復習テキスト問題集は素晴らしい参考資料です。この問題集は絶対あなたがずっと探しているものです。
FINRA Series63資格復習テキスト - 我々のデモから感じられます。
現在IT技術会社に通勤しているあなたは、FINRAのSeries63資格復習テキスト試験認定を取得しましたか？Series63資格復習テキスト試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63資格復習テキスト試験に一発合格したいなら、我々社のFINRAのSeries63資格復習テキスト資料を参考しましょう。また、Series63資格復習テキスト問題集に疑問があると、メールで問い合わせてください。
FINRAのSeries63資格復習テキスト試験にリラクスで合格するのも可能性があります。我々Omgzlookの提供するFINRAのSeries63資格復習テキスト試験のソフトを利用した多くのお客様はこのような感じがあります。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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: 5
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 3 years in prison, a $5,000 fine, or both
C. up to 5 years in prison and a fine of $1,500,000 or both
D. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
Answer: A
Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times the
amount of profits gained, or losses avoided.
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Updated: May 26, 2022