IT業界でのほとんどの人はFINRAのSeries63資格取得試験の重要性を知っています。だれでもエネルギーは限られていますから、短い時間でFINRAのSeries63資格取得試験に合格したいなら、我々NewValidDumpsの提供するソフトはあなたを助けることができます。豊富な問題と分析で作るソフトであなたはFINRAのSeries63資格取得試験に合格することができます。 我々の誠意を信じてください。あなたが順調に試験に合格するように。 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。

Uniform Securities State Law Series63 お客様の満足は我々の進む力です。

人によって目標が違いますが、あなたにFINRA　Series63 - Uniform Securities Agent State Law Examination資格取得試験に順調に合格できるのは我々の共同の目標です。 でも、どのようにSeries63 勉強資料認定試験に合格しますか？もちろん、Series63 勉強資料問題集を選ぶべきです。選ぶ理由はなんですか？お客様にSeries63 勉強資料認定試験資料を提供してあげ、勉強時間は短くても、合格できることを保証いたします。

あなたに高品質で、全面的なSeries63資格取得参考資料を提供することは私たちの責任です。私たちより、Series63資格取得試験を知る人はいません。あなたはSeries63資格取得試験に不安を持っていますか？Series63資格取得参考資料をご覧下さい。

FINRA Series63資格取得試験参考書は定期的に更新されますからです。

NewValidDumpsはきみの貴重な時間を節約するだけでなく、 安心で順調に試験に合格するのを保証します。NewValidDumpsは専門のIT業界での評判が高くて、あなたがインターネットでNewValidDumpsの部分のFINRA Series63資格取得「Uniform Securities Agent State Law Examination」資料を無料でダウンロードして、弊社の正確率を確認してください。弊社の商品が好きなのは弊社のたのしいです。

NewValidDumpsにIT業界のエリートのグループがあって、彼達は自分の経験と専門知識を使ってFINRA Series63資格取得認証試験に参加する方に対して問題集を研究続けています。

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.

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Updated: May 26, 2022