あるいは、無料で試験Series63再テスト問題集を更新してあげるのを選択することもできます。こんな保障がありますから、心配する必要は全然ないですよ。OmgzlookのSeries63再テスト問題集は多くの受験生に検証されたものですから、高い成功率を保証できます。 もしあなたはFINRAのSeries63再テスト試験に準備しているなら、弊社OmgzlookのSeries63再テスト問題集を使ってください。現在、多くの外資系会社はFINRAのSeries63再テスト試験認定を持つ職員に奨励を与えます。 なぜ受験生のほとんどはOmgzlookを選んだのですか。
Uniform Securities State Law Series63 きっと君に失望させないと信じています。
この質問を解決したいのなら、OmgzlookのFINRAのSeries63 - Uniform Securities Agent State Law Examination再テスト試験トレーニング資料を利用すればいいです。 我々は受験生の皆様により高いスピードを持っているかつ効率的なサービスを提供することにずっと力を尽くしていますから、あなたが貴重な時間を節約することに助けを差し上げます。Omgzlook FINRAのSeries63 受験記対策試験問題集はあなたに問題と解答に含まれている大量なテストガイドを提供しています。
それはいくつかの理由があります。第一、Omgzlookは受験生の要求をよく知っています。しかも、他のどのサイトよりも良いサービスを提供します。
FINRA Series63再テスト - Omgzlookは全面的に受験生の利益を保証します。
FINRAの認証資格は最近ますます人気になっていますね。国際的に認可された資格として、FINRAの認定試験を受ける人も多くなっています。その中で、Series63再テスト認定試験は最も重要な一つです。では、この試験に合格するためにどのように試験の準備をしているのですか。がむしゃらに試験に関連する知識を勉強しているのですか。それとも、効率が良い試験Series63再テスト参考書を使っているのですか。
うちのFINRAのSeries63再テスト試験問題集は完全な無制限のダンプが含まれているから、使ったら気楽に試験に合格することができます。君は一回だけでFINRAのSeries63再テスト認定試験に合格したいなら、或いは自分のIT技能を増強したいなら、Omgzlookはあなたにとって最高な選択です。
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.
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Updated: May 26, 2022