由於你的夢想很高，你可以找到很多幫助你準備的材料。我們Shobhadoshi FINRA的Series63考試大綱考試認證考古題，可以幫助你實現你的理想，我們Shobhadoshi FINRA的Series63考試大綱考試是由高度認證的IT專業人士在該領域的經驗的集合與創新，我們的產品將讓你嘗試所有可能的問題，我們可以給你保證，確保考生得到深入探討問題00%真實的答案。 如果你還在為了通過FINRA Series63考試大綱認證考試苦苦掙扎地奮鬥，此時此刻Shobhadoshi可以給你排憂解難。Shobhadoshi能為你提供品質好的培訓資料來幫助你考試，讓你成為一名優秀的FINRA Series63考試大綱的認證會員。 Shobhadoshi FINRA的Series63考試大綱考試培訓資料是由考生在類比的情況下學習，你可以控制題型和一些問題以及每個測試的時間，在Shobhadoshi網站裏，你可以沒有壓力和焦慮來準備考試，同時也可以避免一些常見的錯誤，這樣你會獲得信心，在實際測試時能重複你的經驗，你將涵蓋各個領域和類別的微軟技術，幫助你成功的獲得認證。

Uniform Securities State Law Series63 如果你選擇了Shobhadoshi，你可以100%通過考試。

Uniform Securities State Law Series63考試大綱 - Uniform Securities Agent State Law Examination 各行各業的人們都在為了將來能做出點什麼成績而努力。 如果你已經決定通過FINRA的Series63 認證考試解析考試，Shobhadoshi在這裏，可以幫助你實現你的目標，我們更懂得你需要通過你的FINRA的Series63 認證考試解析考試，我們承諾是為你高品質的考古題，科學的考試，過Shobhadoshi的FINRA的Series63 認證考試解析考試。

沒必要單單因為一個考試浪費你太多的時間。如果你覺得準備Series63考試大綱考試很難，必須要用很多時間的話，那麼你最好用Shobhadoshi的Series63考試大綱考古題作為你的工具。因為它可以幫你節省很多的時間。

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在FINRA的Series63考試大綱考試題庫頁面中，我們擁有所有最新的考古題，由Shobhadoshi資深認證講師和經驗豐富的技術專家精心編輯而來，完整覆蓋最新試題。FINRA的Series63考試大綱考古題包含了PDF電子檔和軟件版，還有在線測試引擎，全新收錄了Series63考試大綱認證考試所有試題，并根據真實的考題變化而不斷變化，適合全球考生通用。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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
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: 5
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.

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Updated: May 26, 2022