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Uniform Securities State Law Series63 近年、IT領域で競争がますます激しくなります。

あなたは高効率の復習とFINRAのSeries63 - Uniform Securities Agent State Law Examination復習解答例試験の成功を経験する必要があればいいです。 NewValidDumpsのFINRAのSeries63 日本語試験対策試験トレーニング資料は豊富な知識と経験を持っているIT専門家に研究された成果で、正確度がとても高いです。NewValidDumpsに会ったら、最高のトレーニング資料を見つけました。

数年間の発展で我々NewValidDumpsはもっと多くの資源と経験を得ています。改善されているソフトはあなたのFINRAのSeries63復習解答例試験の復習の効率を高めることができます。IT業界での競争がますます激しくなるうちに、あなたの能力をどのように証明しますか。

FINRA Series63復習解答例認定試験に合格することは難しいようですね。

あなたより優れる人は存在している理由は彼らはあなたの遊び時間を効率的に使用できることです。どのようにすばらしい人になれますか？ここで、あなたに我々のFINRA　Series63復習解答例試験問題集をお勧めください。弊社NewValidDumpsのSeries63復習解答例試験問題集を介して、速く試験に合格してSeries63復習解答例試験資格認定書を受け入れる一方で、他の人が知らない知識を勉強して優れる人になることに近くなります。

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Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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.

弊社のFINRA　Cisco 010-151J問題集を使用した後、Cisco 010-151J試験に合格するのはあまりに難しくないことだと知られます。 NewValidDumpsのFINRAのUiPath UiPath-ADPv1試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。 FINRA　SAP C-ACT-2403試験認定書はIT職員野給料増加と仕事の昇進にとって、大切なものです。 Microsoft AZ-204-KR - 時間とお金の集まりより正しい方法がもっと大切です。 多くの受験者は、私たちのGIAC GPCS練習試験をすることに特権を感じています。

Updated: May 26, 2022