Series63試験対策 - Finra Uniform Securities Agent State Law Examination赤本合格率 - Royalholidayclubbed

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RoyalholidayclubbedのFINRAのSeries63試験対策試験トレーニング資料は豊富な経験を持っているIT専門家が研究したものです。君がFINRAのSeries63試験対策問題集を購入したら、私たちは一年間で無料更新サービスを提供することができます。もしFINRAのSeries63試験対策問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 FINRAのSeries63試験対策認定試験を受けたら、速くRoyalholidayclubbedというサイトをクリックしてください。あなたがずっとほしいものを手に入れることができますから。これも弊社が自信的にあなたに商品を薦める原因です。

Uniform Securities State Law Series63 でないと、絶対後悔しますよ。

我々のFINRAのSeries63 - Uniform Securities Agent State Law Examination試験対策ソフトを利用してお客様の高通過率及び我々の技術の高いチームで、我々は自信を持って我々Royalholidayclubbedは専門的なのだと言えます。 FINRAのSeries63 テスト資料の認定試験の認可を取ったら、あなたは望むキャリアを得ることができるようになります。RoyalholidayclubbedのFINRAのSeries63 テスト資料試験トレーニング資料を利用したら、望むことを取得できます。

我々の提供するPDF版のFINRAのSeries63試験対策試験の資料はあなたにいつでもどこでも読めさせます。我々もオンライン版とソフト版を提供します。すべては豊富な内容があって各自のメリットを持っています。

FINRA Series63試験対策 - これはまた試験の合格率を保証します。

数年以来の整理と分析によって開発されたSeries63試験対策問題集は権威的で全面的です。Series63試験対策問題集を利用して試験に合格できます。この問題集の合格率は高いので、多くのお客様からSeries63試験対策問題集への好評をもらいました。Series63試験対策問題集のカーバー率が高いので、勉強した問題は試験に出ることが多いです。だから、弊社の提供するSeries63試験対策問題集を暗記すれば、きっと試験に合格できます。

そうすると、Series63試験対策問題集の品質を知らないままに問題集を購入してから後悔になることを避けることができます。Series63試験対策問題集の品質を確かめ、この問題集はあなたに合うかどうかを確認することができるように、RoyalholidayclubbedはSeries63試験対策問題集の一部のダウンロードを無料で提供します。

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.

Fortinet FCP_FML_AD-7.4 - RoyalholidayclubbedにたくさんのIT専門人士がいって、弊社の問題集に社会のITエリートが認定されて、弊社の問題集は試験の大幅カーバして、合格率が１００％にまで達します。 Salesforce Marketing-Cloud-Consultant - しかも、楽に試験に合格することができます。 FINRAのSAP C-TS410-2504試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でRoyalholidayclubbedは君の試験の問題を準備してしまいました。 VMware 3V0-21.23 - もし学習教材は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 Salesforce CRT-211 - Royalholidayclubbedはあなたの夢に実現させるサイトでございます。

Updated: May 26, 2022

by RHC.

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