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Series63資格認定 & Finra Uniform Securities Agent State Law Examination復習内容 - Royalholidayclubbed
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IT職員のあなたは毎月毎月のあまり少ない給料を持っていますが、暇の時間でひたすら楽しむんでいいですか。FINRA Series63資格認定試験認定書はIT職員野給料増加と仕事の昇進にとって、大切なものです。それで、我々社の無料のFINRA Series63資格認定デモを参考して、あなたに相応しい問題集を入手します。 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。 私たちのSeries63資格認定試験問題を利用し、ほかの資料が克服できない障害を克服できます。
Uniform Securities State Law Series63 Royalholidayclubbedは君のもっともよい選択ですよ。
Royalholidayclubbedは専門のIT業界での評判が高くて、あなたがインターネットでRoyalholidayclubbedの部分のFINRA Series63 - Uniform Securities Agent State Law Examination資格認定「Uniform Securities Agent State Law Examination」資料を無料でダウンロードして、弊社の正確率を確認してください。 テストの時に有効なツルが必要でございます。Royalholidayclubbedを選択したら、成功が遠くではありません。
Royalholidayclubbed を選択して１００％の合格率を確保することができて、もし試験に失敗したら、Royalholidayclubbedが全額で返金いたします。
FINRA Series63資格認定 - 早くRoyalholidayclubbedの問題集を君の手に入れましょう。
Royalholidayclubbedは我々が研究したトレーニング資料を無料に更新します。それはあなたがいつでも最新のSeries63資格認定試験トレーニング資料をもらえるということです。Series63資格認定認定試験の目標が変更されば、Royalholidayclubbedが提供した勉強資料も変化に追従して内容を変えます。Royalholidayclubbed は各受験生のニーズを知っていて、あなたがSeries63資格認定認定試験に受かることに有効なヘルプを差し上げます。あなたが首尾よく試験に合格するように、我々は最も有利な価格と最高のクオリティーを提供して差し上げます。
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
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: 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.
RoyalholidayclubbedのFINRAのIAM IAM-Certificate試験トレーニング資料はあなたが完全に問題と問題に含まれているコンセプトを理解できることを保証しますから、あなたは気楽に一回で試験に合格することができます。 Royalholidayclubbed のFINRAのCompTIA CS0-003J問題集はシラバスに従って、それにCompTIA CS0-003J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。 NICET ITFAS-Level-1 - Royalholidayclubbedはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。 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SAP C-TS422-2023試験を研究していますから、FINRAのSAP C-TS422-2023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。 PCI SSC QSA_New_V4 - あなたがいつでも最新の試験資料を持っていることを保証します。
Updated: May 26, 2022
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