試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。しかも、一年間の無料更新サービスを提供します。Shobhadoshiは実際の環境で本格的なFINRAのSeries63基礎問題集「Uniform Securities Agent State Law Examination」の試験の準備過程を提供しています。 ShobhadoshiのFINRAのSeries63基礎問題集問題集を買う前に、一部の問題と解答を無料に試用することができます。そうすると、ShobhadoshiのFINRAのSeries63基礎問題集トレーニング資料の品質をよく知っています。 ShobhadoshiのFINRAのSeries63基礎問題集試験問題資料は質が良くて値段が安い製品です。

Uniform Securities State Law Series63 それはあなたが夢を実現することを助けられます。

Uniform Securities State Law Series63基礎問題集 - Uniform Securities Agent State Law Examination そのとき、あなたはまだ悲しいですか。 最近、FINRAのSeries63 模擬モード試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。

空想は人間が素晴らしいアイデアをたくさん思い付くことができますが、行動しなければ何の役に立たないのです。FINRAのSeries63基礎問題集認定試験に合格のにどうしたらいいかと困っているより、パソコンを起動して、Shobhadoshiをクリックしたほうがいいです。Shobhadoshiのトレーニング資料は１００パーセントの合格率を保証しますから、あなたのニーズを満たすことができます。

FINRA Series63基礎問題集 - 確かに、これは困難な試験です。

Series63基礎問題集認定試験の資格を取得するのは容易ではないことは、すべてのIT職員がよくわかっています。しかし、Series63基礎問題集認定試験を受けて資格を得ることは自分の技能を高めてよりよく自分の価値を証明する良い方法ですから、選択しなければならならないです。ところで、受験生の皆さんを簡単にIT認定試験に合格させられる方法がないですか。もちろんありますよ。Shobhadoshiの問題集を利用することは正にその最良の方法です。Shobhadoshiはあなたが必要とするすべてのSeries63基礎問題集参考資料を持っていますから、きっとあなたのニーズを満たすことができます。Shobhadoshiのウェブサイトに行ってもっとたくさんの情報をブラウズして、あなたがほしい試験Series63基礎問題集参考書を見つけてください。

試験に準備する方法が色々ありますが、最も高効率なのは、きっと良いツールを利用することですね。ところで、あなたにとってどんなツールが良いと言えるのですか。

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