」とゴーリキーは述べました。私の夢は最高のIT専門家になることです。その夢は私にとってはるか遠いです。 FINRA Series63出題範囲認証試験に合格することが簡単ではなくて、FINRA Series63出題範囲証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。 きっと望んでいるでしょう。
Uniform Securities State Law Series63 あなたに提供するソフトはその中の一部です。
Uniform Securities State Law Series63出題範囲 - Uniform Securities Agent State Law Examination あなたはいつでもサブスクリプションの期間を延長することができますから、より多くの時間を取って充分に試験を準備できます。 FINRAのSeries63 日本語解説集試験が更新するとともに我々の作成するソフトは更新しています。なぜ我々はあなたが購入した前にやってみることを許しますか。
FINRAのSeries63出題範囲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。当面、IT業界でFINRAのSeries63出題範囲認定試験の信頼できるソースが必要です。Omgzlookはとても良い選択で、Series63出題範囲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。
FINRA Series63出題範囲 - あなたは一年間での更新サービスを楽しみにします。
Series63出題範囲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出題範囲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出題範囲試験に関連する参考書が登場しますよ。それはOmgzlookのSeries63出題範囲問題集です。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。
我々社の練習問題は長年でSeries63出題範囲全真模擬試験トレーニング資料に研究している専業化チームによって編集されます。FINRA Series63出題範囲資格問題集はPDF版、ソフト版、オンライン版を含まれ、この三つバージョンから自分の愛用することを選んでいます。
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
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
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.
Fortinet FCP_FAZ_AN-7.4 - ここには、私たちは君の需要に応じます。 FINRA SAP C_TS412_2021-JPN試験参考書に疑問を持たれば、FINRA会社のウエブサイトから無料でSAP C_TS412_2021-JPN試験のためのデモをダウンロードできます。 OmgzlookのFINRAのIBM C1000-129試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。 Dell D-HCIAZ-A-01 - もし弊社の問題集を勉強してそれは簡単になります。 IBM C1000-172 - 時間とお金の集まりより正しい方法がもっと大切です。
Updated: May 26, 2022