NewValidDumpsは唯一のあなたの向いている試験に合格する方法で、NewValidDumpsを選んだら、美しい未来を選んだということになります。FINRAのSeries63復習テキストの認定試験の受験生は試験に合格することが難しいというのをよく知っています。しかし、試験に合格することが成功への唯一の道ですから、試験を受けることを選ばなければなりません。 NewValidDumpsはIT認定試験を受験した多くの人々を助けました。また、受験生からいろいろな良い評価を得ています。 我々はIT領域の人々にショートカットを提供するために、最高のスタディガイドと最高のオンラインサービスを用意して差し上げます。

Series63復習テキスト認定試験に合格することは難しいようですね。

このような受験生はSeries63 - Uniform Securities Agent State Law Examination復習テキスト認定試験で高い点数を取得して、自分の構成ファイルは市場の需要と互換性があるように充分な準備をするのは必要です。 NewValidDumpsのFINRAのSeries63 学習教材問題集を購入したら、私たちは君のために、一年間無料で更新サービスを提供することができます。もし不合格になったら、私たちは全額返金することを保証します。

NewValidDumps はFINRAのSeries63復習テキスト試験に関連する知識が全部含まれていますから、あなたにとって難しい問題を全て解決して差し上げます。NewValidDumpsのFINRAのSeries63復習テキスト試験トレーニング資料は必要とするすべての人に成功をもたらすことができます。FINRAのSeries63復習テキスト試験は挑戦がある認定試験です。

FINRA Series63復習テキスト - では、どうやって自分の能力を証明するのですか。

世の中に去年の自分より今年の自分が優れていないのは立派な恥です。それで、IT人材として毎日自分を充実して、Series63復習テキスト問題集を学ぶ必要があります。弊社のSeries63復習テキスト問題集はあなたにこのチャンスを全面的に与えられます。あなたは自分の望ましいFINRA Series63復習テキスト問題集を選らんで、学びから更なる成長を求められます。心はもはや空しくなく、生活を美しくなります。

試験問題集が更新されると、NewValidDumpsは直ちにあなたのメールボックスにSeries63復習テキスト問題集の最新版を送ります。あなたは試験の最新バージョンを提供することを要求することもできます。

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
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.

QUESTION NO: 5
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.

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Updated: May 26, 2022