NewValidDumpsのFINRAのSeries63認定資格試験問題集試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。その権威性は言うまでもありません。うちのFINRAのSeries63認定資格試験問題集試験トレーニング資料を購入する前に、NewValidDumpsのサイトで、一部分のフリーな試験問題と解答をダンロードでき、試用してみます。 この文は人々に知られています。試合と同じ、試験もそのどおりですよ。 時間とお金の集まりより正しい方法がもっと大切です。

Uniform Securities State Law Series63 では、どんな参考書は選べる価値を持っていますか。

Uniform Securities State Law Series63認定資格試験問題集 - Uniform Securities Agent State Law Examination 心はもはや空しくなく、生活を美しくなります。 不合格になる場合或いはFINRAのSeries63 日本語版受験参考書問題集がどんな問題があれば、私たちは全額返金することを保証いたします。NewValidDumpsのFINRAのSeries63 日本語版受験参考書問題集を選んだら、成功を選ぶのに等しいです。

現在IT技術会社に通勤しているあなたは、FINRAのSeries63認定資格試験問題集試験認定を取得しましたか？Series63認定資格試験問題集試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63認定資格試験問題集試験に一発合格したいなら、我々社のFINRAのSeries63認定資格試験問題集資料を参考しましょう。また、Series63認定資格試験問題集問題集に疑問があると、メールで問い合わせてください。

FINRA Series63認定資格試験問題集 - NewValidDumpsには専門的なエリート団体があります。

IT技術の発展に従って、Series63認定資格試験問題集試験資格認定証明書を持つ人はますます多くなっていました。どんなSeries63認定資格試験問題集試験参考書を選びますか？ここで、お勧めたいのは弊社のSeries63認定資格試験問題集試験参考書です。Series63認定資格試験問題集試験参考書の内容は全面的で、わかりやすいです。そのほかに、Series63認定資格試験問題集試験の合格率は高い、多くの受験者が試験に合格しました。だから、弊社のSeries63認定資格試験問題集試験参考書はいろいろな資料の中で目立っています。

試験の目標が変わる限り、あるいは我々の勉強資料が変わる限り、すぐに更新して差し上げます。あなたのニーズをよく知っていていますから、あなたに試験に合格する自信を与えます。

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.

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Updated: May 26, 2022