Series63資格認証攻略 & Series63日本語版問題集 - Series63受験内容 - Royalholidayclubbed

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Royalholidayclubbedが提供したFINRAのSeries63資格認証攻略「Uniform Securities Agent State Law Examination」試験問題と解答が真実の試験の練習問題と解答は最高の相似性があり、一年の無料オンラインの更新のサービスがあり、100%のパス率を保証して、もし試験に合格しないと、弊社は全額で返金いたします。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。でないと、絶対後悔しますよ。使用して私たちRoyalholidayclubbedが提供した対応性練習問題が君にとってはなかなかよいサイトだと思います。

Uniform Securities State Law Series63 これはIT職員の皆が熱望しているものです。

我々はあなたに提供するのは最新で一番全面的なFINRAのSeries63 - Uniform Securities Agent State Law Examination資格認証攻略問題集で、最も安全な購入保障で、最もタイムリーなFINRAのSeries63 - Uniform Securities Agent State Law Examination資格認証攻略試験のソフトウェアの更新です。プリセールス.サービスとアフターサービスに含まれているのです。RoyalholidayclubbedのFINRAのSeries63 対応内容試験トレーニング資料を必要としたら、まず我々の無料な試用版の問題と解答を使ってみることができます。

我々の承諾だけでなく、お客様に最も全面的で最高のサービスを提供します。FINRAのSeries63資格認証攻略の購入の前にあなたの無料の試しから、購入の後での一年間の無料更新まで我々はあなたのFINRAのSeries63資格認証攻略試験に一番信頼できるヘルプを提供します。FINRAのSeries63資格認証攻略試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。

FINRA Series63資格認証攻略 - その正確性も言うまでもありません。

あなたは無料でSeries63資格認証攻略復習教材をダウンロードしたいですか？もちろん、回答ははいです。だから、あなたはコンピューターでFINRAのウエブサイトを訪問してください。そうすれば、あなたは簡単にSeries63資格認証攻略復習教材のデモを無料でダウンロードできます。そして、あなたはSeries63資格認証攻略復習教材の三種類のデモをダウンロードできます。

そして、Royalholidayclubbedのサイトは、君の自分だけに属するIT情報知識サイトです。RoyalholidayclubbedのFINRAのSeries63資格認証攻略試験トレーニング資料を選ぶのは輝い職業生涯を選ぶのに等しいです。

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.

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Updated: May 26, 2022

by RHC.

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