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Series63試験資料 - Finra Series63専門知識内容 & 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試験資料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。 Royalholidayclubbedの問題と解答は初めに試験を受けるあなたが気楽に成功することを助けるだけではなく、あなたの貴重な時間を節約することもできます。RoyalholidayclubbedのFINRAのSeries63試験資料の試験問題と解答はあなたが受験する前にすべての必要とした準備資料を提供しています。 あなたに向いていることを確かめてから買うのも遅くないですよ。
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試験資料 - Uniform Securities Agent State Law Examination この資料を使用すると、あなたの学習効率を向上させ、多くの時間を節約することができます。 うちのFINRAのSeries63 模擬資料試験トレーニング資料を購入する前に、Royalholidayclubbedのサイトで、一部分のフリーな試験問題と解答をダンロードでき、試用してみます。君がうちの学習教材を購入した後、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。
RoyalholidayclubbedのSeries63試験資料参考資料はあなたの目標を達成するのに役立ちます。あなたのキャリアでいま挑戦に直面していますか。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。
FINRA Series63試験資料 - 心はもはや空しくなく、生活を美しくなります。
FINRAのSeries63試験資料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試験資料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試験資料試験に合格します。
また、Series63試験資料問題集に疑問があると、メールで問い合わせてください。現在IT技術会社に通勤しているあなたは、FINRAのSeries63試験資料試験認定を取得しましたか？Series63試験資料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。
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
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: 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.
Microsoft AZ-400 - 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。 人によって目標が違いますが、あなたにFINRA Peoplecert ITIL-4-BRM試験に順調に合格できるのは我々の共同の目標です。 FINRAのISC CISSP-KR試験に参加する人はますます多くなっています。 あなたに高品質で、全面的なMicrosoft DP-700J参考資料を提供することは私たちの責任です。 全力を尽くせば、Amazon AWS-Solutions-Associate試験の合格も可能となります。
Updated: May 26, 2022
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to help you resolve your timeshare scam or Royal Holiday problem
please write to us at:
harpy @ royalholidayclubbed.com
www . Royal Holiday Clubbed . com
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