FINRAのSeries63試験過去問の認定試験に合格すれば、就職機会が多くなります。NewValidDumpsはFINRAのSeries63試験過去問の認定試験の受験生にとっても適合するサイトで、受験生に試験に関する情報を提供するだけでなく、試験の問題と解答をはっきり解説いたします。 これは試験の準備をするために非常に効率的なツールですから。この問題集はあなたが少ない労力で最高の結果を取得することができます。 資料を提供するだけでなく、FINRAのSeries63試験過去問試験も一年の無料アップデートになっています。

Series63試験過去問認定試験に合格することは難しいようですね。

Uniform Securities State Law Series63試験過去問 - Uniform Securities Agent State Law Examination ソフトの問題集はNewValidDumpsが実際問題によって、テストの問題と解答を分析して出来上がりました。 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。

もし君がFINRAのSeries63試験過去問に参加すれば、良い学習のツルを選ぶすべきです。FINRAのSeries63試験過去問認定試験はIT業界の中でとても重要な認証試験で、合格するために良い訓練方法で準備をしなければなりません。。

FINRA Series63試験過去問 - 何の問題があったらお気軽に聞いてください。

時間とお金の集まりより正しい方法がもっと大切です。FINRAのSeries63試験過去問試験のために勉強していますなら、NewValidDumpsの提供するFINRAのSeries63試験過去問試験ソフトはあなたの選びの最高です。我々の目的はあなたにFINRAのSeries63試験過去問試験に合格することだけです。試験に失敗したら、弊社は全額で返金します。我々の誠意を信じてください。あなたが順調に試験に合格するように。

NewValidDumpsにFINRAのSeries63試験過去問試験のフルバージョンがありますから、最新のFINRAのSeries63試験過去問のトレーニング資料をあちこち探す必要がないです。NewValidDumpsを利用したら、あなたはもう最も良いFINRAのSeries63試験過去問のトレーニング資料を見つけたのです。

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
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: 3
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: 4
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: 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