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Series63復習過去問、Finra Series63試験対策 - Uniform Securities Agent State Law Examination - Royalholidayclubbed
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Series63復習過去問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復習過去問認定試験「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。 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。したがって、RoyalholidayclubbedのSeries63復習過去問問題集も絶えずに更新されています。 それをもって、試験は問題になりませんよ。
Uniform Securities State Law Series63 正しい方法は大切です。
Uniform Securities State Law Series63復習過去問 - Uniform Securities Agent State Law Examination 受験生は問題を選べ、テストの時間もコントロールできます。 できるだけ100％の通過率を保証使用にしています。Royalholidayclubbedは多くの受験生を助けて彼らにFINRAのSeries63 模擬試験問題集試験に合格させることができるのは我々専門的なチームがFINRAのSeries63 模擬試験問題集試験を研究して解答を詳しく分析しますから。
短い時間に最も小さな努力で一番効果的にFINRAのSeries63復習過去問試験の準備をしたいのなら、RoyalholidayclubbedのFINRAのSeries63復習過去問試験トレーニング資料を利用することができます。Royalholidayclubbedのトレーニング資料は実践の検証に合格すたもので、多くの受験生に証明された１００パーセントの成功率を持っている資料です。Royalholidayclubbedを利用したら、あなたは自分の目標を達成することができ、最良の結果を得ます。
FINRA Series63復習過去問 - きっと君に失望させないと信じています。
今日、FINRAのSeries63復習過去問認定試験は、IT業界で多くの人に重視されています、それは、IT能力のある人の重要な基準の目安となっています。多くの人はFINRAのSeries63復習過去問試験への準備に悩んでいます。この記事を読んだあなたはラッキーだと思います。あなたは最高の方法を探しましたから。私たちの強力なRoyalholidayclubbedチームの開発するFINRAのSeries63復習過去問ソフトを使用して試験に保障があります。まだ躊躇？最初に私たちのソフトウェアのデモを無料でダウンロードしよう。
我々は受験生の皆様により高いスピードを持っているかつ効率的なサービスを提供することにずっと力を尽くしていますから、あなたが貴重な時間を節約することに助けを差し上げます。Royalholidayclubbed FINRAのSeries63復習過去問試験問題集はあなたに問題と解答に含まれている大量なテストガイドを提供しています。
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.
励ましだけであなたの試験への自信を高めるのは不可能だと知っていますから、我々は効果的なソフトを提供してあなたにFINRAのSAP C-BCBAI-2502試験に合格させます。 Microsoft PL-300 - ためらわずに速くあなたのショッピングカートに入れてください。 PECB ISO-IEC-27001-Lead-Implementer - この試験に合格したいなら、よく準備する必要があります。 RoyalholidayclubbedのFINRAのNICET ITFAS-Level-1試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。 これなので、今から我々社RoyalholidayclubbedのCompTIA CAS-004-JPN試験に合格するのに努力していきます。
Updated: May 26, 2022
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