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Series63信息資訊，Finra Series63考試重點 - Uniform Securities Agent State Law Examination - Royalholidayclubbed
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我們Royalholidayclubbed的 FINRA的Series63信息資訊的考題資料是按照相同的教學大綱來來研究的，同時也不斷升級我們的培訓材料，所以我們的考試培訓資料包括試題及答案，和實際的考試相似度非常高，所以形成了我們Royalholidayclubbed的通過率也是非常的高，這也是不可否認的事實， 由此知道Royalholidayclubbed FINRA的Series63信息資訊考試培訓資料對考生的幫助，而且我們的價格絕對合理，適合每位IT認證的考生。 目前FINRA的Series63信息資訊認證考試真的是一門人氣很高的考試。還沒有取得這個考試的認證資格的你，是不是也想參加考試呢？確實，這是一門很難的考試。 應大家的要求，Royalholidayclubbed為參加Series63信息資訊考試的考生專門研發出了一種高效率的學習方法。
Uniform Securities State Law Series63 那麼，應該怎麼辦才好呢？沒關係。
Royalholidayclubbed的Series63 - Uniform Securities Agent State Law Examination信息資訊考古題是最新最全面的考試資料，一定可以給你通過考試的勇氣與自信。 您是否感興趣想通過Series63 考試備考經驗考試，然后開始您的高薪工作？Royalholidayclubbed擁有最新研發的題庫問題及答案，可以幫助數百萬的考生通過Series63 考試備考經驗考試并獲得認證。我們提供給您最高品質的FINRA Series63 考試備考經驗題庫問題及答案，覆蓋面廣，可以幫助考生進行有效的考前學習。
這是一個被廣大考生檢驗過的網站，可以向大家提供最好的考試考古題。Royalholidayclubbed全面保證考生們的利益，得到了大家的一致好評。而且，Royalholidayclubbed也是當前市場上最值得你信賴的網站。
FINRA Series63信息資訊 - 快將我們Royalholidayclubbed加入你的購車吧。
通過Series63信息資訊 考試不是很簡單的。通過Series63信息資訊考試需要高度專業的知識，如果你還欠缺這方面的知識，Royalholidayclubbed可以為你提供知識的來源。Royalholidayclubbed的專家團隊以他們的豐富的專業知識和經驗幫助你增長知識，並且給你能提供Series63信息資訊認證考試的相關練習題和答案。Royalholidayclubbed會盡全力幫助你一次性通過Series63信息資訊認證考試，並且還可以鞏固你的IT專業知識。選擇了Royalholidayclubbed不僅可以保證你100%通過Series63信息資訊認證考試，並且還會為你提供一年的免費的練習題和答案的更新服務。如果你考試不小心失敗了，我們保證立刻地100%全額退款給您。
Royalholidayclubbed是一家專業的，它專注于廣大考生最先進的FINRA的Series63信息資訊考試認證資料，有了Royalholidayclubbed，FINRA的Series63信息資訊考試認證就不用擔心考不過，Royalholidayclubbed提供的考題資料不僅品質過硬，而且服務優質，只要你選擇了Royalholidayclubbed，Royalholidayclubbed就能幫助你通過考試，並且讓你在短暫的時間裏達到高水準的效率，達到事半功倍的效果。
Series63 PDF DEMO:
QUESTION NO: 1
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 3 years in prison, a $5,000 fine, or both
C. up to 5 years in prison and a fine of $1,500,000 or both
D. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
Answer: A
Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times the
amount of profits gained, or losses avoided.
QUESTION NO: 2
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?
A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the American Stock Exchange
C. a stock that is listed on the OTC Bulletin Board
D. a put option on a stock that sells in the over-the-counter market
Answer: C
Explanation: A stock that is listed on the OTC Bulletin Board would not be exempt from state registration
unless it already happens to be registered under the Uniform Securities Act. Variable annuities and stocks
listed on the American Stock Exchange are classified as federal covered securities by the NSMIA of
1996
and are exempt from state registration. An amendment to the Securities and Exchange Act of 1934 exempts option contracts from state registration.
QUESTION NO: 3
Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?
A. No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts.
B. Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.
C. Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending.
D. It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
Answer: D
Explanation: It depends. Because he is a registered agent in another state and the broker-dealer he is now affiliated with is registered in the state of Massachusetts, Trevor can execute purchases and sales,
but only for existing clients while his registration with the Massachusetts Administrator is still pending and
only for sixty days. This assumes, of course, Trevor has no violations that would restrict him from registering in Massachusetts.
QUESTION NO: 4
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
A. I, II and III
B. I only
C. I and II only
D. I and III only
Answer: A
Explanation: When selling shares in a closed-end investment company, an agent must inform the client of
any commissions, underwriting fees, or miscellaneous other offering expenses involved.
QUESTION NO: 5
Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading
claims about various investment to investors. He had had it with all the rain anyway and decided to move
to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side
(more than his day job provided, in fact) by supplying illegal immigrants with official-looking documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located
in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the
firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the
Uniform
Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,
A. Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or
should have known of the revocation of Sam Shade's (aka Ian Creed) license.
B. Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose
license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
C. Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license
had been revoked by the Administrator of another state.
D. Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for employing an individual whose license had been revoked by the Administrator of another state since it
obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
Answer: A
Explanation: When Sam and his brother-in-law are caught, Sunny Investment Advisers will not be held
liable if it can prove that there was no way it could have or should have known of Sam Shade/Ian
Creed's
license revocation. The drafters of the Uniform Securities Act were cognizant of the fact that employees
can be remarkably deceptive when applying for a position, and because of this the Act indicates that the
investment adviser must either "have known or should have known" of the Administrator's adverse decision against the employee in order to itself be deemed liable.
Royalholidayclubbed的培訓課程是Royalholidayclubbed的專家團隊利用自己的知識和經驗為FINRA SAP C_FIORD_2502 認證考試而研究出來的。 我們Royalholidayclubbed的IT認證考題擁有多年的培訓經驗，Royalholidayclubbed FINRA的Adobe AD0-E724考試培訓資料是個值得信賴的產品，我們的IT精英團隊不斷為廣大考生提供最新版的Adobe AD0-E724考試培訓資料，我們的工作人員作出了巨大努力，以確保你們在考試中總是取得好成績，可以肯定的是，Royalholidayclubbed FINRA的Adobe AD0-E724考試材料是為你提供最實際的IT認證材料。 CompTIA CAS-004 - 作為IT相關認證考試大綱的主要供應商，Royalholidayclubbed的IT專家一直不斷地提供品質較高的產品，不斷為客戶提供免費線上客戶服務，並以最快的速度更新考試大綱。 通過FINRA的Huawei H20-696_V2.0考試認證是從事IT行業的人的夢想，如果你想要變夢想為現實，你只需要選擇專業的培訓，Royalholidayclubbed就是一個專業的提供IT認證培訓資料的網站之一，選擇Royalholidayclubbed，它將與你同在，確保你成功，無論追求的是否有所增加，我們Royalholidayclubbed回讓你的夢想變成現實。 我們的FINRA NVIDIA NCA-GENL 認證考試培訓資料很受客戶歡迎，這是Royalholidayclubbed的專家團隊勤勞勞動的結果。
Updated: May 26, 2022
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