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。きっと望んでいるでしょう。 もしまだ受験していないなら、はやく行動する必要がありますよ。こんなに大切な資格を取らなくてはいけないです。 NewValidDumpsのSeries63試験解答教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。

Uniform Securities State Law Series63 あなたは復習資料に悩んでいるかもしれません。

Uniform Securities State Law Series63試験解答 - Uniform Securities Agent State Law Examination 我々もオンライン版とソフト版を提供します。 NewValidDumpsはあなたのFINRAのSeries63 最新資料試験を準備する間あなたの最もよい友達です。商品を購入するとき、信頼できる会社を選ぶことができます。

我々NewValidDumpsはFINRAのSeries63試験解答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。また、我々はさらに認可を受けられるために、皆様の一切の要求を満足できて喜ぶ気持ちでずっと協力し、完備かつ精確のSeries63試験解答試験問題集を開発するのに準備します。

FINRA Series63試験解答 - 我が社のサービスもいいです。

数年以来の整理と分析によって開発されたSeries63試験解答問題集は権威的で全面的です。Series63試験解答問題集を利用して試験に合格できます。この問題集の合格率は高いので、多くのお客様からSeries63試験解答問題集への好評をもらいました。Series63試験解答問題集のカーバー率が高いので、勉強した問題は試験に出ることが多いです。だから、弊社の提供するSeries63試験解答問題集を暗記すれば、きっと試験に合格できます。

我々社のSeries63試験解答問題集を参考した後、ほっとしました。弊社のSeries63試験解答ソフト版問題集はかねてより多くのIT事業をしている人々は順調にFINRA　Series63試験解答資格認定を取得させます。

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.

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Updated: May 26, 2022