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Series63復習対策、Finra Series63試験対策 - Uniform Securities Agent State Law Examination - Royalholidayclubbed
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もし君はいささかな心配することがあるなら、あなたはうちの商品を購入する前に、Royalholidayclubbedは無料でサンプルを提供することができます。RoyalholidayclubbedのFINRAのSeries63復習対策試験トレーニング資料はPDF形式とソフトウェアの形式で提供します。私たちは最も新しくて、最も正確性の高いFINRAのSeries63復習対策試験トレーニング資料を提供します。 我々の誠意を信じてください。あなたが順調に試験に合格するように。 弊社のRoyalholidayclubbedで無料でFINRAのSeries63復習対策ソフトのデモを直ちにダウンロードできます。
Uniform Securities State Law Series63 数年以来の試験問題集を研究しています。
短時間でSeries63 - Uniform Securities Agent State Law Examination復習対策試験に一発合格したいなら、我々社のFINRAのSeries63 - Uniform Securities Agent State Law Examination復習対策資料を参考しましょう。 弊社の信頼できるSeries63 参考書勉強問題集を使用したお客様はほとんど試験に合格しました。弊社はお客様の皆様の利益を保証するために、あなたに高いクオリティのサービスを提供できて努力しています。
人によって目標が違いますが、あなたにFINRA Series63復習対策試験に順調に合格できるのは我々の共同の目標です。この目標の達成はあなたがIT技術領域へ行く更なる発展の一歩ですけど、我々社Royalholidayclubbed存在するこそすべての意義です。だから、我々社は力の限りで弊社のFINRA Series63復習対策試験資料を改善し、改革の変更に応じて更新します。
FINRA Series63復習対策 - 早くRoyalholidayclubbedの問題集を君の手に入れましょう。
FINRA Series63復習対策試験に合格することは簡単ではなくて、適切な訓练を選ぶのはあなたの成功の第一歩です。情報源はあなたの成功の保障で、Royalholidayclubbedの商品はとてもいい情報保障ですよ。君はRoyalholidayclubbedの商品を選ばればFINRA Series63復習対策認証試験に合格するのを１００％保証するだけでなくあなたのために1年の更新を無料で提供します。
君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにRoyalholidayclubbedを選択してください。Royalholidayclubbedはまた一年間に無料なサービスを更新いたします。
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
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: 4
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.
QUESTION NO: 5
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.
Royalholidayclubbedはあなたが100% でVMware 250-607試験に合格させるの保証することができてまたあなたのために一年の無料の試験の練習問題と解答の更新サービス提供して、もし試験に失敗したら、弊社はすぐ全額で返金を保証いたします。 Royalholidayclubbed のFINRAのHuawei H19-483_V1.0問題集はシラバスに従って、それにHuawei H19-483_V1.0認定試験の実際に従って、あなたがもっとも短い時間で最高かつ最新の情報をもらえるように、弊社はトレーニング資料を常にアップグレードしています。 Fortinet FCSS_NST_SE-7.4 - もし訓練班とオンライン研修などのルートを通じないと試験に合格するのが比較的に難しい、一回に合格率非常に低いです。 認証専門家や技術者及び全面的な言語天才がずっと最新のFINRAのHuawei H20-920_V1.0試験を研究していますから、FINRAのHuawei H20-920_V1.0認定試験に受かりたかったら、Royalholidayclubbedのサイトをクッリクしてください。 そうしたらあなたがFINRAのCompTIA XK0-005認定試験にもっと自信を増加して、もし失敗したら、全額で返金いたします。
Updated: May 26, 2022
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