Series63熱門認證 -最新Series63考證 & Uniform Securities Agent State Law Examination - Royalholidayclubbed

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Royalholidayclubbed FINRA的Series63熱門認證考試認證培訓資料不僅是是你通向成功的基石，而且可以幫助你在你的IT行業發揮更有效益的能力。這個培訓資料覆蓋面廣，不僅可以提高你的文化知識，更可以提高你的操作水準。讓你更大效益的發揮自己，如果你還在等待，還在猶豫，或者你很苦悶，糾結該怎樣努力通過 FINRA的Series63熱門認證考試認證，不要著急，Royalholidayclubbed FINRA的Series63熱門認證考試認證培訓資料會幫助解決這些難題的。你是大智大勇的人嗎？如果你的IT認證考試沒有做好考前準備，你還處之泰然嗎？當然，因為你有 Royalholidayclubbed FINRA的Series63熱門認證考試培訓資料在手上，任何考試困難都不會將你打到。患難可以試驗一個人的品格，非常的境遇方才可以顯出非常的氣節；風平浪靜的海面，所有的船隻都可以並驅競勝。因為我們會定期更新，始終提供準確的FINRA的Series63熱門認證考試認證資料，我們Royalholidayclubbed FINRA的Series63熱門認證考試培訓資料提供一年的免費更新，你會得到最新的更新了的Royalholidayclubbed FINRA的Series63熱門認證考試培訓資料。

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FINRA Series63熱門認證 - Royalholidayclubbed可以為你提供最好最新的考試資源。

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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

by RHC.

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