この試験参考書はきっとあなたに思えぬ良い結果を与えられます。どのようにすればもっと楽にFINRAのSeries63資格練習認定試験に合格することができるかについて考えたことがありますか。試験に合格する秘密を見つけましたか。 近年、IT領域で競争がますます激しくなります。IT認証は同業種の欠くことができないものになりました。 「NewValidDumpsのSeries63資格練習問題集は本当に良い教材です。

Series63資格練習認定試験に合格することは難しいようですね。

NewValidDumpsの FINRAのSeries63 - Uniform Securities Agent State Law Examination資格練習試験トレーニング資料は高度に認証されたIT領域の専門家の経験と創造を含めているものです。 NewValidDumpsのFINRAのSeries63 真実試験問題集を購入したら、私たちは君のために、一年間無料で更新サービスを提供することができます。もし不合格になったら、私たちは全額返金することを保証します。

購入した前にFINRAのSeries63資格練習ソフトのような商品の適用性をあなたに感じさせるために、我々はFINRAのSeries63資格練習ソフトのデモを提供して、あなたはNewValidDumpsで無料でダウンロードして体験できます。何か疑問があれば、我々の係員を問い合わせたり、メールで我々を連絡したりすることができます。あなたは弊社を選ぶとき、FINRAのSeries63資格練習試験に合格する最高の方法を選びます。

FINRA Series63資格練習 - もっと多くの認可と就職機会を貰いたいのですか。

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資格練習試験のために勉強していますなら、NewValidDumpsの提供するFINRAのSeries63資格練習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資格練習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。

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。あなたは各バーションのFINRAのSeries63資格練習試験の資料をダウンロードしてみることができ、あなたに一番ふさわしいバーションを見つけることができます。

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
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: 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
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