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。ShobhadoshiのFINRAのSeries63資格講座試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。 もしまだ試験に合格する自信を持っていないなら、ここで最高の試験参考書を推奨します。ただ短時間の勉強で試験に合格できる最新のSeries63資格講座問題集が登場しました。 Shobhadoshiを選んだら、成功への扉を開きます。

Uniform Securities State Law Series63 自分の幸せは自分で作るものだと思われます。

試用した後、我々のSeries63 - Uniform Securities Agent State Law Examination資格講座問題集はあなたを試験に順調に合格させると信じられます。 あなたは弊社の高品質FINRA　Series63 日本語サンプル試験資料を利用して、一回に試験に合格します。ShobhadoshiのFINRA　Series63 日本語サンプル問題集は専門家たちが数年間で過去のデータから分析して作成されて、試験にカバーする範囲は広くて、受験生の皆様のお金と時間を節約します。

IT領域により良く発展したいなら、FINRA　Series63資格講座のような試験認定資格を取得するのは重要なことです。周知のようにFINRA　Series63資格講座のような試験認定資格を手に入れると、会社の規則に沿う奨励があります。それで、速く我々ShobhadoshiのFINRA　Series63資格講座試験問題集を入手しましょう。

FINRA Series63資格講座問題集は唯一無にな参考資料です。

多分、Series63資格講座テスト質問の数が伝統的な問題の数倍である。FINRA　Series63資格講座試験参考書は全ての知識を含めて、全面的です。そして、Series63資格講座試験参考書の問題は本当の試験問題とだいたい同じことであるとわかります。Series63資格講座試験参考書があれば,ほかの試験参考書を勉強する必要がないです。

簡単で順調にFINRA Series63資格講座認定試験を通すのは問題になりますが、Shobhadoshiはこの問題を解決できるよ。弊社の問題集はIT技術者がこつこつ研究して、正確で最新なもので君のSeries63資格講座認定試験を簡単に通すことにいいトレーニングツールになりますよ。

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
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: 3
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: 4
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: 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