IT業界の中でたくさんの野心的な専門家がいって、IT業界の中でより一層頂上まで一歩更に近く立ちたくてFINRAのSeries63日本語関連対策試験に参加して認可を得たくて、FINRA のSeries63日本語関連対策試験が難度の高いので合格率も比較的低いです。FINRAのSeries63日本語関連対策試験を申し込むのは賢明な選択で今のは競争の激しいIT業界では、絶えず自分を高めるべきです。しかし多くの選択肢があるので君はきっと悩んでいましょう。 ShobhadoshiのFINRAのSeries63日本語関連対策試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。Shobhadoshiはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。 しかしその可能性はほとんどありません。

Uniform Securities State Law Series63 早速買いに行きましょう。

FINRAのSeries63 - Uniform Securities Agent State Law Examination日本語関連対策認定試験を受けることを決めたら、Shobhadoshiがそばにいて差し上げますよ。 それは正確性が高くて、カバー率も広いです。あなたはShobhadoshiの学習教材を購入した後、私たちは一年間で無料更新サービスを提供することができます。

このトレーニングはカバー率が高いですから、あなたの知識を豊富させる以外、操作レベルを高められます。もし今あなたがFINRAのSeries63日本語関連対策「Uniform Securities Agent State Law Examination」試験にどうやって合格することに困っているのなら、心配しないでください。Shobhadoshiが提供したFINRAのSeries63日本語関連対策トレーニング資料はあなたの問題を解決することができますから。

FINRA Series63日本語関連対策 - PDF、オンライン問題集または模擬試験ソフトですか。

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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