OmgzlookのFINRAのSeries63再テスト試験トレーニング資料は豊富な経験を持っているIT専門家が研究したものです。君がFINRAのSeries63再テスト問題集を購入したら、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。もしFINRAのSeries63再テスト問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 そうしたら、半分の労力で二倍の効果を得ることができます。FINRAのSeries63再テスト試験に受かるために一所懸命頑張って勉強していれば、あなたは間違っているのです。 すべてのことの目的はあなたに安心に試験に準備さされるということです。
Uniform Securities State Law Series63 試験に合格する自信を持たなくても大丈夫です。
Uniform Securities State Law Series63再テスト - Uniform Securities Agent State Law Examination すべては豊富な内容があって各自のメリットを持っています。 これはあなたが一回で試験に合格することを保証できる問題集です。成功することが大変難しいと思っていますか。
我々OmgzlookはFINRAのSeries63再テスト試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。また、我々はさらに認可を受けられるために、皆様の一切の要求を満足できて喜ぶ気持ちでずっと協力し、完備かつ精確のSeries63再テスト試験問題集を開発するのに準備します。
はやくOmgzlookのFINRA Series63再テスト問題集を入手しましょう。
競争力が激しい社会に当たり、我々Omgzlookは多くの受験生の中で大人気があるのは受験生の立場からFINRA Series63再テスト試験資料をリリースすることです。たとえば、ベストセラーのFINRA Series63再テスト問題集は過去のデータを分析して作成ます。ほんとんどお客様は我々OmgzlookのFINRA Series63再テスト問題集を使用してから試験にうまく合格しましたのは弊社の試験資料の有効性と信頼性を説明できます。
OmgzlookのFINRAのSeries63再テストの試験問題と解答は当面の市場で最も徹底的な正確的な最新的な模擬テストです。煩わしいFINRAのSeries63再テスト試験問題で、悩んでいますか？悩むことはありません。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within
A. five years.
B. three years from discovery or five years from the event, whichever comes first.
C. two years from discovery or three years from the event, whichever comes first.
D. one year from discovery.
Answer: C
Explanation: If you discover that a security you purchased has not been registered with the state and was
sold unlawfully, you can file a civil claim against the seller as long as you do so within two years from discovery or three years from the event, whichever comes first, under the guidelines of the Uniform
Securities Act. Therefore, if you know about an unlawful sale for more than two years or if the sale took
place more than three years ago, you cannot sue. The statute of limitations has expired.
QUESTION NO: 4
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: 5
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.
だから、弊社の提供するMicrosoft DP-700問題集を暗記すれば、きっと試験に合格できます。 もしFINRAのISC CCSP-JPN問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 Network Appliance NS0-604 - Omgzlookは同業の中でそんなに良い地位を取るの原因は弊社のかなり正確な試験の練習問題と解答そえに迅速の更新で、このようにとても良い成績がとられています。 Omgzlookを選んだら、君が一回でFINRAのOracle 1Z0-902認定試験に合格するのを保証します。 FINRAのEMC D-UN-DY-23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Omgzlookは君の試験の問題を準備してしまいました。
Updated: May 26, 2022