これをよくできるために、我々は全日24時間のサービスを提供します。FINRAのSeries63試験準備ソフトを購入してから一年間の無料更新サービスも提供します。試験に失敗したら、全額で返金する承諾があります。 我々のチームは複雑な問題集を整理するに通じて、毎年の試験の問題を分析して最高のFINRAのSeries63試験準備ソフトを作成します。今まで、我々は更新を努力しています。 すべては豊富な内容があって各自のメリットを持っています。

我々社のSeries63試験準備問題集を参考した後、ほっとしました。

Uniform Securities State Law Series63試験準備 - Uniform Securities Agent State Law Examination 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。 もしあなたはFINRA　Series63 資料勉強試験問題集に十分な注意を払って、Series63 資料勉強試験の解答を覚えていれば、Series63 資料勉強認定試験の成功は明らかになりました。FINRA　Series63 資料勉強模擬問題集で実際の質問と正確の解答に疑問があれば、無料の練習問題集サンプルをダウンロードし、チェックしてください。

FINRAのSeries63試験準備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。

FINRA Series63試験準備認定試験に合格することは難しいようですね。

FINRAのSeries63試験準備認定試験は人気があるIT認証に属するもので、野心家としてのIT専門家の念願です。このような受験生はSeries63試験準備認定試験で高い点数を取得して、自分の構成ファイルは市場の需要と互換性があるように充分な準備をするのは必要です。

NewValidDumpsは君にとってベストな選択になります。ここには、私たちは君の需要に応じます。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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
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: 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