Series63考古題更新，Series63考題資訊 - Finra Series63最新試題 - Royalholidayclubbed

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Royalholidayclubbed提供的Series63考古題更新考古題是最全面的學習資料，這是一個可以讓您高效高速的掌握知識的題庫寶典。我們提供的FINRA Series63考古題更新模擬測試題及答案和真實考試的題目及答案有95%的相似性，能保證您100%通過Series63考古題更新認證考試，滿足廣大考生需求。當您真的了解我們產品的可靠性之后，您會毫不猶豫的購買它，因為FINRA Series63考古題更新是您最好的選擇，甚至是您未來職業生涯成功不可缺少的。 Royalholidayclubbed還會為你提供一年的免費更新服務。Royalholidayclubbed不僅可靠性強，而且服務也很好。在你還在猶豫選擇我們Royalholidayclubbed之前，你可以先嘗試在我們Royalholidayclubbed免費下載我們為你提供的關於FINRA Series63考古題更新認證考試的部分考題及答案。

Uniform Securities State Law Series63 準備考試的時候學習與考試相關的知識是很有必要的。

Uniform Securities State Law Series63考古題更新 - Uniform Securities Agent State Law Examination 只要你支付了你想要的考古題，那麼你馬上就可以得到它。覺得不可思議嗎？但是，這是真的。只要你用，Royalholidayclubbed就可以讓你看到奇跡的發生。

希望成為擁有Series63考古題更新認證的IT專業人士嗎？想減少獲得Series63考古題更新認證的成本嗎？想通過所有的FINRA認證嗎？如果“是”，Royalholidayclubbed是考生最明智的選擇，為您提供涵蓋最新認證考試問題的最佳題庫學習資料。Series63考古題更新題庫可以在您考前模擬真實的考試環境，也是最有效的考古題。利用FINRA的Series63考古題更新考古題，您將達到你的目的，得到最佳的效果，給您帶來無限大的利益，在您以后的IT行業道路上可以走的更遠。

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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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