自分の幸せは自分で作るものだと思われます。ただ、社会に入るIT卒業生たちは自分能力の不足で、Series63資格講座試験向けの仕事を探すのを悩んでいますか？それでは、弊社のFINRAのSeries63資格講座練習問題を選んで実用能力を速く高め、自分を充実させます。その結果、自信になる自己は面接のときに、面接官のいろいろな質問を気軽に回答できて、順調にSeries63資格講座向けの会社に入ります。 なぜと言うのは、我々社の専門家は改革に応じて問題の更新と改善を続けていくのは出発点から勝つからです。我々社のFINRA Series63資格講座問題集を購入するかどうかと疑問があると、弊社OmgzlookのSeries63資格講座問題集のサンプルをしてみるのもいいことです。 OmgzlookのFINRA Series63資格講座問題集は専門家たちが数年間で過去のデータから分析して作成されて、試験にカバーする範囲は広くて、受験生の皆様のお金と時間を節約します。
Series63資格講座問題集は唯一無にな参考資料です。
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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.
ECCouncil 312-50v12-JPN - OmgzlookはきみのIT夢に向かって力になりますよ。 Adobe AD0-E716 - ためらわずに速くあなたのショッピングカートに入れてください。 Omgzlookを利用したら、FINRAのSalesforce Salesforce-Marketing-Associate試験に合格するのを心配することはないです。 OmgzlookのFINRAのHuawei H13-624_V5.0試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。 それに我々はいつもユーザーからのフィードバックを受け付け、アドバイスの一部をフルに活用していますから、完璧なOmgzlookのFINRAのHP HPE7-A04問題集を取得しました。
Updated: May 26, 2022