しかし、成功には方法がありますよ。正確な選択をしたら、そんなに苦労しなくても成功することもできます。OmgzlookのFINRAのSeries63関連合格問題試験トレーニング資料はIT職員を対象とした特別に作成されたものですから、IT職員としてのあなたが首尾よく試験に合格することを助けます。 君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにOmgzlookを選択してください。Omgzlookはまた一年間に無料なサービスを更新いたします。 このトレーニング資料を持っていたら、成功への道を見つけます。
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関連合格問題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関連合格問題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 無料模擬試験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 無料模擬試験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 無料模擬試験認証試験を通りたいですか？Omgzlookを選択しましょう！
OmgzlookのFINRAのSeries63関連合格問題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。まだ困っていたら、我々の試用版を使ってみてください。ためらわずに速くあなたのショッピングカートに入れてください。
FINRA Series63関連合格問題 - IT認定試験には多くの種類があります。
我々はあなたに提供するのは最新で一番全面的なFINRAのSeries63関連合格問題問題集で、最も安全な購入保障で、最もタイムリーなFINRAのSeries63関連合格問題試験のソフトウェアの更新です。無料デモはあなたに安心で購入して、購入した後1年間の無料FINRAのSeries63関連合格問題試験の更新はあなたに安心で試験を準備することができます、あなたは確実に購入を休ませることができます私たちのソフトウェアを試してみてください。もちろん、我々はあなたに一番安心させるのは我々の開発する多くの受験生に合格させるFINRAのSeries63関連合格問題試験のソフトウェアです。
IT領域でも同じです。コンピュータの普及につれて、パソコンを使えない人がほとんどいなくなります。
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.
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Updated: May 26, 2022