FINRA Series63試験資料「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA Series63試験資料証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。 しようがないわけではないです。短時間の準備でも楽に試験に合格することができるようになりますよ。 今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。

Uniform Securities State Law Series63 その夢は私にとってはるか遠いです。

我々のソフトを利用してFINRAのSeries63 - Uniform Securities Agent State Law Examination試験資料試験に合格するのは全然問題ないです。 最近、FINRAのSeries63 対応内容試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。

我々NewValidDumpsのITエリートと我々のFINRAのSeries63試験資料試験のソフトに満足するお客様は我々に自信を持たせます。あなたのFINRAのSeries63試験資料試験を準備する圧力を減少するのは我々の責任で、あなたにFINRAのSeries63試験資料試験に合格させるのは我々の目標です。我々はほぼ100％の通過率であなたに安心させます。

そして、FINRA Series63試験資料問題集は安くて、便利です。

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でも、FINRA　Series63試験資料復習教材を選ばれば、試験に合格することは簡単です。Series63試験資料復習教材の内容は全面的で、価格は合理的です。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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
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.

QUESTION NO: 5
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.

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Updated: May 26, 2022