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Series63対応受験 - Series63模擬対策問題、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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Royalholidayclubbedの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries63対応受験認定試験対策模擬テスト問題集が研究しました。模擬テスト問題集と真実の試験問題がよく似ています。一目でわかる最新の出題傾向でわかりやすい解説と充実の補充問題があります。 FINRAのSeries63対応受験の認証試験について、あなたは異なるサイトや書籍で色々な問題を見つけることができます。しかし、ロジックが接続されているかどうかはキーです。 あなたはいつでもサブスクリプションの期間を延長することができますから、より多くの時間を取って充分に試験を準備できます。
Uniform Securities State Law Series63 Royalholidayclubbedは君にとってベストな選択になります。
Uniform Securities State Law Series63対応受験 - Uniform Securities Agent State Law Examination この参考書は短い時間で試験に十分に準備させ、そして楽に試験に合格させます。 RoyalholidayclubbedのFINRAのSeries63 復習テキスト試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。その権威性は言うまでもありません。
自分のスキルを向上させ、よりよく他の人に自分の能力を証明したいですか。昇進する機会を得たいですか。そうすると、はやくSeries63対応受験認定試験を申し込んで認証資格を取りましょう。
FINRA Series63対応受験 - 心はもはや空しくなく、生活を美しくなります。
FINRAのSeries63対応受験試験を準備するのは残念ですが、合格してからあなたはITに関する仕事から美しい未来を持っています。だから、我々のすべきのことはあなたの努力を無駄にしないということです。弊社のRoyalholidayclubbedの提供するFINRAのSeries63対応受験試験ソフトのメリットがみんなに認められています。我々のデモから感じられます。我々は力の限りにあなたにFINRAのSeries63対応受験試験に合格します。
現在IT技術会社に通勤しているあなたは、FINRAのSeries63対応受験試験認定を取得しましたか？Series63対応受験試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63対応受験試験に一発合格したいなら、我々社のFINRAのSeries63対応受験資料を参考しましょう。
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.
API API-936 - 弊社の無料デモをダウンロードしてあなたはもっと真実に体験することができます。 だから、我々社は力の限りで弊社のFINRA SAP C_AIG_2412試験資料を改善し、改革の変更に応じて更新します。 RoyalholidayclubbedはFINRAのPeoplecert ITIL-4-Practitioner-Deployment-Management試験を長い時間で研究しますので、この試験を深く了解しています。 あなたはSAP C_S4CPB_2502試験に不安を持っていますか？SAP C_S4CPB_2502参考資料をご覧下さい。 SAP C_S4CFI_2504 - あなたのすべての需要を満たすためには、一緒に努力します。
Updated: May 26, 2022
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