Series63絶対合格問題集の内容は専門的かつ全面的で、覚えやすいです。また、Series63絶対合格問題集は的中率が高いです。そのいくつの点で、Series63絶対合格試験に合格することを保障できます。 多分、Series63絶対合格テスト質問の数が伝統的な問題の数倍である。FINRA Series63絶対合格試験参考書は全ての知識を含めて、全面的です。 簡単で順調にFINRA Series63絶対合格認定試験を通すのは問題になりますが、Omgzlookはこの問題を解決できるよ。
Uniform Securities State Law Series63 それは受験者にとって重要な情報です。
インターネットで時勢に遅れないSeries63 - Uniform Securities Agent State Law Examination絶対合格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絶対合格トレーニング資料を提供するユニークなサイトです。 弊社の無料なサンプルを遠慮なくダウンロードしてください。君はまだFINRAのSeries63 日本語対策認証試験を通じての大きい難度が悩んでいますか？ 君はまだFINRA Series63 日本語対策認証試験に合格するために寝食を忘れて頑張って復習しますか？ 早くてFINRA Series63 日本語対策認証試験を通りたいですか？Omgzlookを選択しましょう！
Omgzlookが提供したFINRAのSeries63絶対合格トレーニング資料を利用したら、FINRAのSeries63絶対合格認定試験に受かることはたやすくなります。Omgzlookがデザインしたトレーニングツールはあなたが一回で試験に合格することにヘルプを差し上げられます。OmgzlookのFINRAのSeries63絶対合格トレーニング資料即ち問題と解答をダウンロードする限り、気楽に試験に受かることができるようになります。
FINRA Series63絶対合格 - これは多くの受験生に証明されたことです。
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絶対合格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絶対合格参考書を使っているのですか。
IT業種を選んだ私は自分の実力を証明したのです。しかし、神様はずっと私を向上させることを要求します。
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.
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Updated: May 26, 2022