現在很多IT專業人士都一致認為FINRA Series63題庫資訊 認證考試的證書就是登上IT行業頂峰的第一塊墊腳石。因此FINRA Series63題庫資訊認證考試是一個很多IT專業人士關注的考試。 Series63題庫資訊題庫學習資料將會是您通過此次考試的最好保證，還在猶豫什么，請盡早擁有FINRA Series63題庫資訊考古題吧！購買最新的Series63題庫資訊考古題，您將擁有100%成功通過Series63題庫資訊考試的機會，我們產品的品質是非常好的，而且更新的速度也是最快的。 很多選擇使用Shobhadoshi的產品的考生一次性通過了IT相關認證考試，經過他們回饋證明了我們的Shobhadoshi提供的幫助是很有效的。

Uniform Securities State Law Series63 為了不讓成功與你失之交臂，趕緊行動吧。

對於 FINRA的Series63 - Uniform Securities Agent State Law Examination題庫資訊考試認證每個考生都很迷茫。 我們Shobhadoshi的 FINRA的Series63 考題資源的考題資料是按照相同的教學大綱來來研究的，同時也不斷升級我們的培訓材料，所以我們的考試培訓資料包括試題及答案，和實際的考試相似度非常高，所以形成了我們Shobhadoshi的通過率也是非常的高，這也是不可否認的事實， 由此知道Shobhadoshi FINRA的Series63 考題資源考試培訓資料對考生的幫助，而且我們的價格絕對合理，適合每位IT認證的考生。

但是這並不代表不能獲得高分輕鬆通過考試。那麼，還不知道通過這個考試的捷徑在哪里的你，是不是想知道通過考試的技巧呢？現在我來告訴你，就是利用Shobhadoshi的Series63題庫資訊考古題。目前FINRA的Series63題庫資訊認證考試真的是一門人氣很高的考試。

FINRA Series63題庫資訊 - 这是经过很多人证明过的事实。

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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
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.

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Updated: May 26, 2022