それはあなたが夢を実現することを助けられます。夢を持ったら実現するために頑張ってください。「信仰は偉大な感情で、創造の力になれます。 高い価格のトレーニング授業を受けることはなくて、Omgzlook FINRAのSeries63受験体験試験トレーニング資料をショッピングカートに入れる限り、我々はあなたが気楽に試験に合格することを助けられます。IT業種のFINRAのSeries63受験体験認定試験に合格したいのなら、Omgzlook FINRAのSeries63受験体験試験トレーニング問題集を選ぶのは必要なことです。 さて、はやく試験を申し込みましょう。
Series63受験体験問題集を利用して試験に合格できます。
だから、あなたの使用しているFINRAのSeries63 - Uniform Securities Agent State Law Examination受験体験試験のソフトウェアは、最新かつ最も全面的な問題集を確認することができます。 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。そして、弊社が提供した問題集を安心で使用して、試験を安心で受けて、君のFINRA Series63 技術問題認証試験の１００％の合格率を保証しますす。
多くの受験生は我々のソフトでFINRAのSeries63受験体験試験に合格したので、我々は自信を持って我々のソフトを利用してあなたはFINRAのSeries63受験体験試験に合格する保障があります。IT業界の発展とともに、IT業界で働いている人への要求がますます高くなります。競争の中で排除されないように、あなたはFINRAのSeries63受験体験試験に合格しなければなりません。
FINRA Series63受験体験 - 近年、IT領域で競争がますます激しくなります。
私たちは本当にお客様の貴重な意見をSeries63受験体験試験資料の作りの考慮に入れます。おそらく、君たちは私たちのSeries63受験体験試験資料について何も知らないかもしれません。でも、私たちのSeries63受験体験試験資料のデモをダウンロードしてみると、全部わかるようになります。そのデモはSeries63受験体験試験資料の一部を含めています。
OmgzlookのFINRAのSeries63受験体験試験トレーニング資料は豊富な知識と経験を持っているIT専門家に研究された成果で、正確度がとても高いです。Omgzlookに会ったら、最高のトレーニング資料を見つけました。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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
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.
OmgzlookはFINRAのCisco 350-401Jの認定試験の受験生にとっても適合するサイトで、受験生に試験に関する情報を提供するだけでなく、試験の問題と解答をはっきり解説いたします。 Microsoft DP-600 - これは試験の準備をするために非常に効率的なツールですから。 資料を提供するだけでなく、FINRAのISACA CISM-JPN試験も一年の無料アップデートになっています。 いまHuawei H12-821_V1.0-ENU試験に合格するショートカットを教えてあげますから。 CWNP CWDP-304 - ソフトの問題集はOmgzlookが実際問題によって、テストの問題と解答を分析して出来上がりました。
Updated: May 26, 2022