FINRAのSeries63復習対策書試験と言ったら、Shobhadoshi のFINRAのSeries63復習対策書試験トレーニング資料はずっとほかのサイトを先んじているのは、Shobhadoshi にはIT領域のエリートが組み立てられた強い団体がありますから。その団体はいつでも最新のFINRA Series63復習対策書試験トレーニング資料を追跡していて、彼らのプロな心を持って、ずっと試験トレーニング資料の研究に力を尽くしています。FINRAのSeries63復習対策書認定試験は業界で広く認証されたIT認定です。 心はもはや空しくなく、生活を美しくなります。世の中に去年の自分より今年の自分が優れていないのは立派な恥です。 Shobhadoshiは毎日異なる受験生に様々なトレーニング資料を提供します。

Uniform Securities State Law Series63 早くShobhadoshiの問題集を君の手に入れましょう。

Uniform Securities State Law Series63復習対策書 - Uniform Securities Agent State Law Examination Shobhadoshiは全面的な認証基準のトレーニング方法を追求している。 君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにShobhadoshiを選択してください。Shobhadoshiはまた一年間に無料なサービスを更新いたします。

目の前の本当の困難に挑戦するために、君のもっと質の良いFINRAのSeries63復習対策書問題集を提供するために、私たちはShobhadoshiのITエリートチームの変動からFINRAのSeries63復習対策書問題集の更新まで、完璧になるまでにずっと頑張ります。私たちはあなたが簡単にFINRAのSeries63復習対策書認定試験に合格するができるという目標のために努力しています。あなたはうちのFINRAのSeries63復習対策書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 Series63復習対策書 - Shobhadoshiには専門的なエリート団体があります。

FINRAのSeries63復習対策書試験のための資料を探していますか。資料の整理に悩んでいますか。Shobhadoshiは最高のウェブサイトとしてあなたに最も全面的な資料を準備しています。現在あなたは資料を探す時間を節約してFINRAのSeries63復習対策書試験のために直ちに準備できます。

ShobhadoshiのFINRAのSeries63復習対策書試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。それはあなたがいつでも最新の試験資料を持てるということです。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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.

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Updated: May 26, 2022