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Uniform Securities State Law Series63 NewValidDumpsを選んだら、成功への扉を開きます。

数年以来の整理と分析によって開発されたSeries63 - Uniform Securities Agent State Law Examinationトレーニング問題集は権威的で全面的です。 NewValidDumpsはあなたが試験に合格するのを助けることができるだけでなく、あなたは最新の知識を学ぶのを助けることもできます。このような素晴らしい資料をぜひ見逃さないでください。

また、独自の研究チームと専門家を持っています。そのため、Series63トレーニング試験参考書に対して、お客様の新たな要求に迅速に対応できます。それは受験者の中で、Series63トレーニング試験参考書が人気がある原因です。

FINRA Series63トレーニング - でも、この試験はそれほど簡単ではありません。

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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.

購入した前の無料の試み、購入するときのお支払いへの保障、購入した一年間の無料更新FINRAのPRINCE2 PRINCE2-Foundation-JPN試験に失敗した全額での返金…これらは我々のお客様への承諾です。 Microsoft AZ-800J - NewValidDumpsの商品はIT業界中で高品質で低価格で君の試験のために専門に研究したものでございます。 試験が更新されているうちに、我々はFINRAのPRINCE2 PRINCE2Foundation試験の資料を更新し続けています。 Microsoft SC-100はFINRAの一つ重要な認証試験で多くのIT専門スタッフが認証される重要な試験です。 OMG OMG-OCUP2-ADV300 - 自分の幸せは自分で作るものだと思われます。

Updated: May 26, 2022