気楽に試験に合格したければ、はやく試しに来てください。Series63関連問題資料認定試験に合格することは難しいようですね。試験を申し込みたいあなたは、いまどうやって試験に準備すべきなのかで悩んでいますか。 最新FINRAのSeries63関連問題資料認定試験は真実の試験問題にもっとも近くて比較的に全面的でございます。NewValidDumpsのFINRAのSeries63関連問題資料認証試験について最新な研究を完成いたしました。 NewValidDumpsは君にとってベストな選択になります。

Uniform Securities State Law Series63 我々の誠意を信じてください。

Uniform Securities State Law Series63関連問題資料 - Uniform Securities Agent State Law Examination NewValidDumpsを選ぶのは、成功を選ぶということになります。 自分のIT業界での発展を希望したら、FINRAのSeries63 模擬トレーリング試験に合格する必要があります。FINRAのSeries63 模擬トレーリング試験はいくつ難しくても文句を言わないで、我々NewValidDumpsの提供する資料を通して、あなたはFINRAのSeries63 模擬トレーリング試験に合格することができます。

この認証がどんなに重要するかあなたもよく知っています。試験に合格できないなんて心配しないで、あなたの能力を疑わないでください。FINRAのSeries63関連問題資料認定試験「Uniform Securities Agent State Law Examination」を受けたいのなら、試験の準備に関する全ての質問がNewValidDumpsは解決して差し上げます。

FINRA Series63関連問題資料 - 心はもはや空しくなく、生活を美しくなります。

FINRAのSeries63関連問題資料認定試験はIT職員が欠くことができない認証です。IT職員のキャリアと関連しますから。 FINRAのSeries63関連問題資料試験トレーニング資料は受験生の皆さんが必要とした勉強資料です。NewValidDumpsのトレーニング資料は受験生が一番ほしい唯一なトレーニング資料です。NewValidDumpsのFINRAのSeries63関連問題資料試験トレーニング資料を手に入れたら、試験に合格することができるようになります。

短時間でSeries63関連問題資料試験に一発合格したいなら、我々社のFINRAのSeries63関連問題資料資料を参考しましょう。また、Series63関連問題資料問題集に疑問があると、メールで問い合わせてください。

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