そうすれば、あなたは簡単にSeries63日本語受験攻略復習教材のデモを無料でダウンロードできます。そして、あなたはSeries63日本語受験攻略復習教材の三種類のデモをダウンロードできます。あなたは無料でSeries63日本語受験攻略復習教材をダウンロードしたいですか？もちろん、回答ははいです。 OmgzlookのFINRAのSeries63日本語受験攻略問題集を購入するなら、君がFINRAのSeries63日本語受験攻略認定試験に合格する率は１００パーセントです。科学が発達で、情報が多すぎの２１世紀で、ネットはみんながのんびりしている場所だけではなく、グローバルな電子図書館だと言えます。 Omgzlookはずっと君のために最も正確なFINRAのSeries63日本語受験攻略「Uniform Securities Agent State Law Examination」試験に関する資料を提供して、君が安心に選択することができます。
Uniform Securities State Law Series63 アフターサービスは会社を評価する重要な基準です。
Uniform Securities State Law Series63日本語受験攻略 - Uniform Securities Agent State Law Examination 今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。 そのほかに、どのバーションでも全面的で最新版のFINRAのSeries63 勉強方法の資料を提供します。お客様に自分に一番ふさわしいFINRAのSeries63 勉強方法試験の復習方式を提供するために、我々はFINRAのSeries63 勉強方法の資料の3つのバーションを提供します。
試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。しかも、一年間の無料更新サービスを提供します。Omgzlookは実際の環境で本格的なFINRAのSeries63日本語受験攻略「Uniform Securities Agent State Law Examination」の試験の準備過程を提供しています。
FINRA Series63日本語受験攻略 - さて、はやく試験を申し込みましょう。
Series63日本語受験攻略参考資料を使用したお客様からいい評価をもらいました。Series63日本語受験攻略参考資料は多くの人の絶対いい選択です。Series63日本語受験攻略参考資料の難点については、弊社の専門家ガ例を挙げて説明します。そうすれば、わかりやすく、覚えやすいです。弊社の Series63日本語受験攻略参考資料は実践に基づいて、専門的な知識の蓄積です。だから、Series63日本語受験攻略試験のために、弊社の商品を選ばれば、後悔することがないです。
OmgzlookのSeries63日本語受験攻略教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。試験問題集が更新されると、Omgzlookは直ちにあなたのメールボックスにSeries63日本語受験攻略問題集の最新版を送ります。
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.
FINRA Palo Alto Networks PSE-PrismaCloud-JPN認証試験を通るために、いいツールが必要です。 Salesforce Salesforce-Marketing-Associate - ところで、受験生の皆さんを簡単にIT認定試験に合格させられる方法がないですか。 Axis CTS - Omgzlookを選られば、成功しましょう。 OmgzlookのFINRAのEMC D-UN-DY-23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。 FINRAのMicrosoft MB-230認証試験に失敗したら弊社は全額で返金するのを保証いたします。
Updated: May 26, 2022