NewValidDumpsには専門的なエリート団体があります。認証専門家や技術者及び全面的な言語天才がずっと最新のFINRAのSeries63対応資料試験を研究していますから、FINRAのSeries63対応資料認定試験に受かりたかったら、NewValidDumpsのサイトをクッリクしてください。あなたに成功に近づいて、夢の楽園に一歩一歩進めさせられます。 そのほかに、Series63対応資料試験の合格率は高い、多くの受験者が試験に合格しました。だから、弊社のSeries63対応資料試験参考書はいろいろな資料の中で目立っています。 NewValidDumpsのFINRAのSeries63対応資料試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。

Uniform Securities State Law Series63 そして、試験を安心に参加してください。

Uniform Securities State Law Series63対応資料 - Uniform Securities Agent State Law Examination 正しい方法は大切です。 弊社のSeries63 最新知識のトレーニング資料を買ったら、一年間の無料更新サービスを差し上げます。もっと長い時間をもらって試験を準備したいのなら、あなたがいつでもサブスクリプションの期間を伸びることができます。

NewValidDumpsは多くの受験生を助けて彼らにFINRAのSeries63対応資料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Series63対応資料試験を研究して解答を詳しく分析しますから。試験が更新されているうちに、我々はFINRAのSeries63対応資料試験の資料を更新し続けています。できるだけ100％の通過率を保証使用にしています。

FINRA Series63対応資料 - ここで成功へのショートカットを教えてあげます。

IT職員のあなたは毎月毎月のあまり少ない給料を持っていますが、暇の時間でひたすら楽しむんでいいですか。FINRA　Series63対応資料試験認定書はIT職員野給料増加と仕事の昇進にとって、大切なものです。それで、我々社の無料のFINRA　Series63対応資料デモを参考して、あなたに相応しい問題集を入手します。暇の時間を利用して勉強します。努力すれば報われますなので、FINRA　Series63対応資料資格認定を取得して自分の生活状況を改善できます。

NewValidDumpsのFINRAのSeries63対応資料試験トレーニング資料は受験生としてのあなたが欠くことができない資料です。それは受験生のために特別に作成したものですから、１００パーセントの合格率を保証します。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 3
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: 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.

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Updated: May 26, 2022