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Series63過去問 - Series63資格認証攻略 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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あなたの独自の品質を向上させるだけでなく、完璧な人生価値を実現することも助けます。あなたが悲しいとき、勉強したほうがいいです。勉強があなたに無敵な位置に立たせます。 あなたの夢は何ですか。あなたのキャリアでいくつかの輝かしい業績を行うことを望まないのですか。 FINRAのSeries63過去問認定試験に合格のにどうしたらいいかと困っているより、パソコンを起動して、Royalholidayclubbedをクリックしたほうがいいです。
Uniform Securities State Law Series63 今教えてあげますよ。
Royalholidayclubbedのウェブサイトに行ってもっとたくさんの情報をブラウズして、あなたがほしい試験Series63 - Uniform Securities Agent State Law Examination過去問参考書を見つけてください。 FINRAのSeries63 ブロンズ教材認定試験を受験する気があるのですか。この試験を受けた身の回りの人がきっと多くいるでしょう。
RoyalholidayclubbedのFINRAのSeries63過去問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過去問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過去問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 Series63過去問 - 試験に失敗したら、全額で返金する承諾があります。
もしあなたはIT業種でもっと勉強になりたいなら、Royalholidayclubbedを選んだ方が良いです。RoyalholidayclubbedのFINRAのSeries63過去問試験トレーニング資料は豊富な経験を持っている専門家が長年の研究を通じて開発されたものです。それは正確性が高くて、カバー率も広いです。RoyalholidayclubbedのFINRAのSeries63過去問試験トレーニング資料を手に入れたら、成功に導く鍵を手に入れるのに等しいです。
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。
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 NSE5_FSM-6.3 - 我々提供する資料はあなたの需要だと知られています。 我々RoyalholidayclubbedはFINRAのSAP C-C4H32-2411試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。 Juniper JN0-253 - あなたの気に入る版を選ぶことができます。 たとえば、ベストセラーのFINRA Huawei H19-640_V1.0問題集は過去のデータを分析して作成ます。 Cisco 350-401 - できるだけ100％の通過率を保証使用にしています。
Updated: May 26, 2022
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