|
|
 |
Series63勉強方法 & Finra Uniform Securities Agent State Law Examinationテスト資料 - Royalholidayclubbed
|
|
RHC Destination Reviews
Who Is Harpy?
Need More Information?
Royalholidayclubbedはきっとご存じしています。それは現在、市場上でFINRA のSeries63勉強方法認定試験に合格する率が一番高いからです。あなたはうちのFINRAのSeries63勉強方法問題集を購入する前に、一部分のフリーな試験問題と解答をダンロードして、試用してみることができます。 FINRAのSeries63勉強方法試験はいくつ難しくても文句を言わないで、我々Royalholidayclubbedの提供する資料を通して、あなたはFINRAのSeries63勉強方法試験に合格することができます。FINRAのSeries63勉強方法試験を準備しているあなたに試験に合格させるために、我々Royalholidayclubbedは模擬試験ソフトを更新し続けています。 Royalholidayclubbedを選ぶなら、君がFINRAのSeries63勉強方法認定試験に合格するということできっと喜んでいます。
Uniform Securities State Law Series63 弊社の商品が好きなのは弊社のたのしいです。
弊社RoyalholidayclubbedはFINRAのSeries63 - Uniform Securities Agent State Law Examination勉強方法問題集を購入し勉強した後、あなたはSeries63 - Uniform Securities Agent State Law Examination勉強方法試験に合格することでできると信じています。 Royalholidayclubbed を選択して１００％の合格率を確保することができて、もし試験に失敗したら、Royalholidayclubbedが全額で返金いたします。
FINRA Series63勉強方法試験のための一切な需要を満足して努力します。購入した後、我々はあなたがSeries63勉強方法試験にうまく合格するまで細心のヘルプをずっと与えます。一年間の無料更新と試験に合格しなくて全額返金も我々の誠のアフタサーブすでございます。
FINRA Series63勉強方法 - Royalholidayclubbedを選んだら、成功への扉を開きます。
Series63勉強方法認定試験は専門知識と情報技術を検査する試験で、Royalholidayclubbedが一日早くFINRAのSeries63勉強方法認定試験「Uniform Securities Agent State Law Examination」に合格させるのサイトで試験の前に弊社が提供する訓練練習問題をテストして、短い時間であなたの収穫が大きいです。
このような素晴らしい資料をぜひ見逃さないでください。IT技術の急速な発展につれて、IT認証試験の問題は常に変更されています。
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
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: 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.
CompTIA 220-1101J - 試験に合格するのは簡単ではないもよくわかりましょう。 RoyalholidayclubbedのGitHub GitHub-Copilot問題集は多くの受験生に検証されたものですから、高い成功率を保証できます。 SAP C-S4CPB-2502 - そうしたら、完全な試験準備をして、気楽に試験を受かることができるようになります。 RoyalholidayclubbedのITエリートたちは彼らの専門的な目で、最新的なFINRAのOracle 1z0-1110-25試験トレーニング資料に注目していて、うちのFINRAのOracle 1z0-1110-25問題集の高い正確性を保証するのです。 Royalholidayclubbed はあなたに最新の試験研究資料を提供しますから、Royalholidayclubbed FINRAのAmazon SAP-C02問題集を持っていたら、試験に直面する自信に満ちることができ、合格しないなんて全然心配することはなく気楽に試験に受かることができます。
Updated: May 26, 2022
|
Copyright © 2006-2007 by RHC.
All rights
reserved. |
---------------
If you don't find what you are looking for here
to help you resolve your timeshare scam or Royal Holiday problem
please write to us at:
harpy @ royalholidayclubbed.com
www . Royal Holiday Clubbed . com
|
|