もしあなたが試験に合格する決心があったら、我々のFINRAのSeries63資格トレーニングソフトを利用するのはあなたの試験に成功する有効な保障です。我々のFINRAのSeries63資格トレーニングソフトのデモをダウンロードしてみて我々Omgzlookのあなたに合格させる自信を感じられます。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。 それは正確性が高くて、カバー率も広いです。あなたはOmgzlookの学習教材を購入した後、私たちは一年間で無料更新サービスを提供することができます。 我々はあなたにすべての資料を探して科学的に分析しました。
Uniform Securities State Law Series63 PDF版、ソフト版、オンライン版があります。
FINRAのSeries63 - Uniform Securities Agent State Law Examination資格トレーニング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 - Uniform Securities Agent State Law Examination資格トレーニング試験に一番信頼できるヘルプを提供します。 業界で有名なFINRA Series63 日本語認定対策問題集販売会社として、購入意向があると、我々の商品を選んでくださいませんか。今の社会はますます激しく変化しているから、私たちはいつまでも危機意識を強化します。
社会と経済の発展につれて、多くの人はIT技術を勉強します。なぜならば、IT職員にとって、FINRAのSeries63資格トレーニング資格証明書があるのは肝心な指標であると言えます。自分の能力を証明するために、Series63資格トレーニング試験に合格するのは不可欠なことです。
FINRA Series63資格トレーニング資料は素晴らしいものです。
あなたは無料でSeries63資格トレーニング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。だから、あなたはコンピューターでFINRAのウエブサイトを訪問してください。そうすれば、あなたは簡単にSeries63資格トレーニング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資格トレーニング復習教材の三種類のデモをダウンロードできます。
そして、弊社が提供した問題集を安心で使用して、試験を安心で受けて、君のFINRA Series63資格トレーニング認証試験の１００％の合格率を保証しますす。OmgzlookにたくさんのIT専門人士がいって、弊社の問題集に社会のITエリートが認定されて、弊社の問題集は試験の大幅カーバして、合格率が１００％にまで達します。
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.
Splunk SPLK-1002J - 君はオンラインで無料な練習問題をダウンロードできて、１００％で試験に合格しましょう。 FINRAのDell D-PDM-A-01の認定試験に合格するのは簡単ではなくて、OmgzlookはDell D-PDM-A-01試験の受験生がストレスを軽減し、エネルギーと時間を節約するために専門研究手段として多様な訓練を開発して、Omgzlookから君に合ったツールを選択してください。 FINRA Huawei H13-311_V3.5「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA Huawei H13-311_V3.5証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。 Amazon DVA-C02試験はFINRAの一つ重要な認証試験で多くのIT専門スタッフが認証される重要な試験です。 ServiceNow CAD - 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。
Updated: May 26, 2022