Omgzlookが提供したFINRAのSeries63試験問題解説集トレーニング資料を利用したら、FINRAのSeries63試験問題解説集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試験問題解説集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。 弊社のFINRAのSeries63試験問題解説集ソフトを購入するのを決めるとき、我々は各方面であなたに保障を提供します。購入した前の無料の試み、購入するときのお支払いへの保障、購入した一年間の無料更新FINRAのSeries63試験問題解説集試験に失敗した全額での返金…これらは我々のお客様への承諾です。 あなたが自分のキャリアでの異なる条件で自身の利点を発揮することを助けられます。
その中で、Series63試験問題解説集認定試験は最も重要な一つです。
我々社はSeries63 - Uniform Securities Agent State Law Examination試験問題解説集問題集のクオリティーをずっと信じられますから、試験に失敗するとの全額返金を承諾します。 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。
FINRA Series63試験問題解説集資格認定はバッジのような存在で、あなたの所有する専業技術と能力を上司に直ちに知られさせます。次のジョブプロモーション、プロジェクタとチャンスを申し込むとき、FINRA Series63試験問題解説集資格認定はライバルに先立つのを助け、あなたの大業を成し遂げられます。
先月、FINRA Series63試験問題解説集試験に参加しました。
我々の承諾だけでなく、お客様に最も全面的で最高のサービスを提供します。FINRAのSeries63試験問題解説集の購入の前にあなたの無料の試しから、購入の後での一年間の無料更新まで我々はあなたのFINRAのSeries63試験問題解説集試験に一番信頼できるヘルプを提供します。FINRAのSeries63試験問題解説集試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。
あなたはその他のFINRA Series63試験問題解説集「Uniform Securities Agent State Law Examination」認証試験に関するツールサイトでも見るかも知れませんが、弊社はIT業界の中で重要な地位があって、Omgzlookの問題集は君に100%で合格させることと君のキャリアに変らせることだけでなく一年間中で無料でサービスを提供することもできます。
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.
自分の能力を証明するために、Amazon ANS-C01試験に合格するのは不可欠なことです。 Omgzlookを通じて最新のFINRAのSplunk SPLK-1002J試験の問題と解答早めにを持てて、弊社の問題集があればきっと君の強い力になります。 Scrum PSK-I - 我々Omgzlookは一番行き届いたアフタサービスを提供します。 SAP C-THR92-2405 - 同じ目的を達成するためにいろいろな方法があって、多くの人がいい仕事とすばらしい生活を人生の目的にしています。 我々社サイトのFINRA Salesforce PDI-JPN問題庫は最新かつ最完備な勉強資料を有して、あなたに高品質のサービスを提供するのはSalesforce PDI-JPN資格認定試験の成功にとって唯一の選択です。
Updated: May 26, 2022