Shobhadoshi FINRA的Series63考題套裝考試培訓資料得到廣大考生的稱譽已經不是最近幾天的事情了，說明Shobhadoshi FINRA的Series63考題套裝考試培訓資料信得過，確實可以幫助廣大考生通過考試，讓考生沒有後顧之憂，Shobhadoshi FINRA的Series63考題套裝考試培訓資料暢銷和同行相比一直遙遙領先，率先得到廣大消費者的認可，口碑當然不用說，如果你要參加 FINRA的Series63考題套裝考試，就趕緊進Shobhadoshi這個網站，相信你一定會得到你想要的，不會錯過就不會後悔，如果你想成為最專業最受人矚目的IT專家，那就趕緊加入購物車吧。 你買了Shobhadoshi的產品，我們會全力幫助你通過認證考試，而且還有免費的一年更新升級服務。如果官方改變了認證考試的大綱，我們會立即通知客戶。 Shobhadoshi FINRA的Series63考題套裝考題和答案反映的問題問Series63考題套裝考試。

Uniform Securities State Law Series63 因為如果錯過了它，你就等於錯失了一次成功的機會。

Uniform Securities State Law Series63考題套裝 - Uniform Securities Agent State Law Examination 只有這樣，在考試的時候你才可以輕鬆應對。 用過了軟體版的考古題，你就可以在參加考試時以一種放鬆的心態來做題，有利於你正常發揮你的水準。ShobhadoshiのSeries63 熱門認證考古題可以讓你輕鬆地準備考試。

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Shobhadoshi的FINRA Series63考題套裝考古題是很好的參考資料。

每個人都有自己的人生規劃，選擇不同得到的就不同，所以說選擇很重要。Shobhadoshi FINRA的Series63考題套裝考試認證培訓資料是幫助每個IT人士實現自己人生宏偉目標的最好的方式方法，它包括了試題及答案，並且和真實的考試題目不相上下，真的是所謂稱得上是最好的別無二選的培訓資料。

Shobhadoshi網站在通過Series63考題套裝資格認證考試的考生中有著良好的口碑。這是大家都能看得到的事實。

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
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
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: 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.

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Updated: May 26, 2022