OmgzlookのFINRAのSeries63試験解答「Uniform Securities Agent State Law Examination」試験はあなたが成功することを助けるトレーニング資料です。FINRAのSeries63試験解答認定試験に受かりたいのなら、Omgzlook を選んでください。時には、成功と失敗の距離は非常に短いです。 OmgzlookのFINRAのSeries63試験解答試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。Omgzlookはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。 それはOmgzlookのSeries63試験解答問題集です。
Uniform Securities State Law Series63 これは多くの受験生に証明された事実です。
それは OmgzlookのSeries63 - Uniform Securities Agent State Law Examination試験解答問題集には実際の試験に出題される可能性がある問題をすべて含んでいて、しかもあなたをよりよく問題を理解させるように詳しい解析を与えますから。 これは受験生の皆さんに検証されたウェブサイトで、一番優秀な試験Series63 試験情報問題集を提供することができます。Omgzlookは全面的に受験生の利益を保証します。
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試験解答認定試験は最も重要な一つです。
FINRA Series63試験解答 - 早速買いに行きましょう。
OmgzlookのFINRAのSeries63試験解答試験トレーニング資料を利用すれば、認定試験に合格するのは簡単になります。うちのFINRAのSeries63試験解答試験トレーニング資料は豊富な経験を持っている専門家が長年の研究を通じて開発されたものです。Omgzlookの学習教材は君の初めての試しでFINRAのSeries63試験解答認定試験に合格するのに助けます。
OmgzlookのFINRAのSeries63試験解答試験トレーニング資料はFINRAのSeries63試験解答認定試験を準備するのリーダーです。Omgzlookの FINRAのSeries63試験解答試験トレーニング資料は高度に認証されたIT領域の専門家の経験と創造を含めているものです。
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.
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Updated: May 26, 2022