FINRAのSeries63復習過去問試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でShobhadoshiは君の試験の問題を準備してしまいました。君の初めての合格を目標にします。 FINRAのSeries63復習過去問試験への復習に悩んでいますか。弊社の試験のためのソフトを買うのはあなたの必要の第一歩です。 Shobhadoshiはあなたの夢に実現させるサイトでございます。

Uniform Securities State Law Series63 我々の商品にあなたを助けさせましょう。

ShobhadoshiのFINRAのSeries63 - Uniform Securities Agent State Law Examination復習過去問の試験問題は同じシラバスに従って、実際のFINRAのSeries63 - Uniform Securities Agent State Law Examination復習過去問認証試験にも従っています。 初心者といい、数年IT仕事を従事した人といい、我々ShobhadoshiのFINRA　Series63 絶対合格問題集は最良の選択であると考えられます。なぜならば、弊社は高品質かつ改革によってすぐに更新できるSeries63 絶対合格問題集を提供できるからです。

Shobhadoshiはとても良い選択で、Series63復習過去問の試験を最も短い時間に縮められますから、あなたの費用とエネルギーを節約することができます。それに、あなたに美しい未来を作ることに助けを差し上げられます。FINRAのSeries63復習過去問認定試験に受かるのはあなたの技能を検証することだけでなく、あなたの専門知識を証明できて、上司は無駄にあなたを雇うことはしないことの証明書です。

FINRA Series63復習過去問 - だから、私たちは信頼されるに値します。

Series63復習過去問認定試験に合格することは難しいようですね。試験を申し込みたいあなたは、いまどうやって試験に準備すべきなのかで悩んでいますか。そうだったら、下記のものを読んでください。いまSeries63復習過去問試験に合格するショートカットを教えてあげますから。あなたを試験に一発合格させる素晴らしいSeries63復習過去問試験に関連する参考書が登場しますよ。それはShobhadoshiのSeries63復習過去問問題集です。気楽に試験に合格したければ、はやく試しに来てください。

もしあなたはまだ合格のためにFINRA Series63復習過去問に大量の貴重な時間とエネルギーをかかって一生懸命準備し、FINRA Series63復習過去問「Uniform Securities Agent State Law Examination」認証試験に合格するの近道が分からなくって、今はShobhadoshiが有効なFINRA Series63復習過去問認定試験の合格の方法を提供して、君は半分の労力で倍の成果を取るの与えています。

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