暇な時間だけでFINRAのSeries63真実試験試験に合格したいのですか。我々の提供するPDF版のFINRAのSeries63真実試験試験の資料はあなたにいつでもどこでも読めさせます。我々もオンライン版とソフト版を提供します。 NewValidDumps は世界的によく知られているサイトです。どうしてこのような大きな連鎖反応になりましたか。 我々NewValidDumpsはFINRAのSeries63真実試験試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。

Uniform Securities State Law Series63 従って、NewValidDumpsは皆の信頼を得ました。

Series63 - Uniform Securities Agent State Law Examination真実試験問題集を利用して試験に合格できます。 そうすると、Series63 日本語参考問題集の品質を知らないままに問題集を購入してから後悔になることを避けることができます。Series63 日本語参考問題集の品質を確かめ、この問題集はあなたに合うかどうかを確認することができるように、NewValidDumpsはSeries63 日本語参考問題集の一部のダウンロードを無料で提供します。

NewValidDumpsにたくさんのIT専門人士がいって、弊社の問題集に社会のITエリートが認定されて、弊社の問題集は試験の大幅カーバして、合格率が１００％にまで達します。弊社のみたいなウエブサイトが多くても、彼たちは君の学習についてガイドやオンラインサービスを提供するかもしれないが、弊社はそちらにより勝ちます。NewValidDumpsは同業の中でそんなに良い地位を取るの原因は弊社のかなり正確な試験の練習問題と解答そえに迅速の更新で、このようにとても良い成績がとられています。

FINRA Series63真実試験 - しかし、資料の品質が保証されることができません。

FINRAのSeries63真実試験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NewValidDumps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。

もし学習教材は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。NewValidDumpsのFINRAのSeries63真実試験試験トレーニング資料は正確性が高くて、カバー率も広い。

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
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
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: 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.

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Updated: May 26, 2022