NewValidDumpsはきっとご存じしています。それは現在、市場上でFINRA のSeries63復習内容認定試験に合格する率が一番高いからです。あなたはうちのFINRAのSeries63復習内容問題集を購入する前に、一部分のフリーな試験問題と解答をダンロードして、試用してみることができます。 FINRAのSeries63復習内容試験はいくつ難しくても文句を言わないで、我々NewValidDumpsの提供する資料を通して、あなたはFINRAのSeries63復習内容試験に合格することができます。FINRAのSeries63復習内容試験を準備しているあなたに試験に合格させるために、我々NewValidDumpsは模擬試験ソフトを更新し続けています。 あなたはNewValidDumpsの学習教材を購入した後、私たちは一年間で無料更新サービスを提供することができます。
あなたに高品質で、全面的なSeries63 - Uniform Securities Agent State Law Examination復習内容参考資料を提供することは私たちの責任です。 全力を尽くせば、Series63 資格勉強試験の合格も可能となります。他人の気付いていないときに、だんだんFINRAのSeries63 資格勉強試験成功したいのですか?我が社はIT資格認証試験資料の販売者として、いつまでもできご客様に相応しく信頼できるSeries63 資格勉強問題集を提供できます。
NewValidDumpsはきみの貴重な時間を節約するだけでなく、 安心で順調に試験に合格するのを保証します。NewValidDumpsは専門のIT業界での評判が高くて、あなたがインターネットでNewValidDumpsの部分のFINRA Series63復習内容「Uniform Securities Agent State Law Examination」資料を無料でダウンロードして、弊社の正確率を確認してください。弊社の商品が好きなのは弊社のたのしいです。
Series63復習内容認定試験は専門知識と情報技術を検査する試験で、NewValidDumpsが一日早くFINRAのSeries63復習内容認定試験「Uniform Securities Agent State Law Examination」に合格させるのサイトで試験の前に弊社が提供する訓練練習問題をテストして、短い時間であなたの収穫が大きいです。
NewValidDumpsはあなたが試験に合格するのを助けることができるだけでなく、あなたは最新の知識を学ぶのを助けることもできます。このような素晴らしい資料をぜひ見逃さないでください。
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
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: 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.
HP HPE2-B02 - 試験に合格するのは簡単ではないもよくわかりましょう。 あるいは、無料で試験Okta Okta-Certified-Consultant問題集を更新してあげるのを選択することもできます。 IIA IIA-CIA-Part2-JPN - そうしたら、完全な試験準備をして、気楽に試験を受かることができるようになります。 Microsoft MB-500 - なぜ受験生のほとんどはNewValidDumpsを選んだのですか。 NewValidDumps はあなたに最新の試験研究資料を提供しますから、NewValidDumps FINRAのSalesforce Health-Cloud-Accredited-Professional問題集を持っていたら、試験に直面する自信に満ちることができ、合格しないなんて全然心配することはなく気楽に試験に受かることができます。
Updated: May 26, 2022
試験コード:Series63
試験名称:Uniform Securities Agent State Law Examination
最近更新時間:2024-11-26
問題と解答:全 251 問
FINRA Series63 日本語講座
ダウンロード
試験コード:Series63
試験名称:Uniform Securities Agent State Law Examination
最近更新時間:2024-11-26
問題と解答:全 251 問
FINRA Series63 日本語版トレーリング
ダウンロード
試験コード:Series63
試験名称:Uniform Securities Agent State Law Examination
最近更新時間:2024-11-26
問題と解答:全 251 問
FINRA Series63 合格体験談
ダウンロード