Omgzlookの問題集を利用してからこのすべてが真であることがわかります。OmgzlookのSeries63関連資格知識 問題集はあなたがSeries63関連資格知識認定試験に準備するときに最も欠かせない資料です。この問題集の価値は試験に関連する他の参考書の総合の価値に相当します。 周りの多くの人は全部FINRA Series63関連資格知識資格認定試験にパースしまして、彼らはどのようにできましたか。今には、あなたにOmgzlookを教えさせていただけませんか。 その中で、Series63関連資格知識認定試験が最も重要な一つです。
Uniform Securities State Law Series63 PDF、オンライン問題集または模擬試験ソフトですか。
OmgzlookのFINRAのSeries63 - Uniform Securities Agent State Law Examination関連資格知識試験問題資料は質が良くて値段が安い製品です。 我々Omgzlookはお客様の立場でお客様に最高のサービスを提供します。全日でのオンライン係員、FINRAのSeries63 テスト問題集試験資料のデモ、豊富なバーション、FINRAのSeries63 テスト問題集試験資料を購入した後の無料更新、試験に失敗した後の全額の返金…これら全部は我々Omgzlookが信頼される理由です。
OmgzlookのFINRAのSeries63関連資格知識試験トレーニング資料はIT人員の皆さんがそんな目標を達成できるようにヘルプを提供して差し上げます。OmgzlookのFINRAのSeries63関連資格知識試験トレーニング資料は１００パーセントの合格率を保証しますから、ためらわずに決断してOmgzlookを選びましょう。FINRAのSeries63関連資格知識認定試験は実は技術専門家を認証する試験です。
FINRA Series63関連資格知識 - 私の夢は最高のIT専門家になることです。
努力する人生と努力しない人生は全然違いますなので、あなたはのんびりした生活だけを楽しみしていき、更なる進歩を求めるのではないか？スマートを一方に置いて、我々FINRAのSeries63関連資格知識試験問題集をピックアップします。弊社のSeries63関連資格知識試験問題集によって、あなたの心と精神の満足度を向上させながら、勉強した後Series63関連資格知識試験資格認定書を受け取って努力する人生はすばらしいことであると認識られます。
きっと望んでいるでしょう。では、常に自分自身をアップグレードする必要があります。
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