これは前例のない真実かつ正確なものです。受験生のあなたが首尾よく試験に合格することを助けるように、当社のITエリートの団体はずっと探っています。Omgzlookが提供した製品は真実なもので、しかも価格は非常に合理的です。 あなたの全部な需要を満たすためにいつも頑張ります。きみはFINRAのSeries63学習体験談認定テストに合格するためにたくさんのルートを選択肢があります。 この資料はFINRAのSeries63学習体験談試験のために特別に研究されたもので、受験生からの良い評価をたくさんもらいました。
Uniform Securities State Law Series63 これは人の心によることです。
インターネットで時勢に遅れないSeries63 - Uniform Securities Agent State Law Examination学習体験談勉強資料を提供するというサイトがあるかもしれませんが、Omgzlookはあなたに高品質かつ最新のFINRAのSeries63 - Uniform Securities Agent State Law Examination学習体験談トレーニング資料を提供するユニークなサイトです。 FINRA試験の重要なの一環として、Series63 日本語解説集認定試験はあなたに大きな恩恵を与えることができます。ですから、あなたを楽に試験に合格させる機会を逃してはいけません。
ためらわずに速くあなたのショッピングカートに入れてください。でないと、絶対後悔しますよ。Omgzlookが提供したFINRAのSeries63学習体験談トレーニング資料を利用したら、FINRAのSeries63学習体験談認定試験に受かることはたやすくなります。
FINRAのFINRA Series63学習体験談試験の準備に悩んでいますか。
OmgzlookのFINRAのSeries63学習体験談試験トレーニング資料を使ったら、君のFINRAのSeries63学習体験談認定試験に合格するという夢が叶えます。なぜなら、それはFINRAのSeries63学習体験談認定試験に関する必要なものを含まれるからです。Omgzlookを選んだら、あなたは簡単に認定試験に合格することができますし、あなたはITエリートたちの一人になることもできます。まだ何を待っていますか。早速買いに行きましょう。
多くの人は結果が大丈夫で過程だけ重要ですって言いますが。FINRAのSeries63学習体験談試験にとってはそうではない。
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.
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Updated: May 26, 2022