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Series63新版題庫上線 & Series63熱門考題 - Finra Series63學習筆記 - Royalholidayclubbed
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Royalholidayclubbed感到最自豪的是能幫助考生通過很難的FINRA Series63新版題庫上線考試，我們過去五年的成功率極高，可以讓您在職業生涯里有更好的發展前景。Series63新版題庫上線是IT專業人士的首選學習資料，特別是那些想自己在工作中有所提供的人。我們的所有產品還不定期推出折扣優惠活動，給考生提供最有效的FINRA Series63新版題庫上線考試學習資料。 為了讓你放心的選擇我們，你在網上可以免費下載Royalholidayclubbed為你提供的部分考試練習題和答案，作為免費嘗試。Royalholidayclubbed是能確保你100%的通過FINRA Series63新版題庫上線的認證考試。 通過FINRA Series63新版題庫上線認證考試可以給你帶來很多改變。
Uniform Securities State Law Series63 我們的練習題及答案和真實的考試題目很接近。
Royalholidayclubbed有最新的FINRA Series63 - Uniform Securities Agent State Law Examination新版題庫上線 認證考試的培訓資料，Royalholidayclubbed的一些勤勞的IT專家通過自己的專業知識和經驗不斷地推出最新的FINRA Series63 - Uniform Securities Agent State Law Examination新版題庫上線的培訓資料來方便通過FINRA Series63 - Uniform Securities Agent State Law Examination新版題庫上線的IT專業人士。 親愛的廣大考生，你有沒有想過參與任何FINRA的Series63 題庫最新資訊考試的培訓課程嗎？其實你可以採取措施一次通過認證，Royalholidayclubbed FINRA的Series63 題庫最新資訊考試題培訓資料是個不錯的選擇，本站虛擬的網路集訓和使用課程包涵大量你們需要的考題集，完全可以讓你們順利通過認證。
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Series63 PDF DEMO:
QUESTION NO: 1
Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:
A. only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B. immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
C. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
D. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
Answer: B
Explanation: Under the registration by coordination process, the security's registration with the state becomes effective immediately after approval by the SEC as long as the registration has been on file for
at least 20 days or the Uniform Securities Act has provided an exemption to this waiting period. This assumes, of course, that there is not a stop order or a proceeding pending.
QUESTION NO: 2
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.
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
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: 5
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.
CompTIA SY0-701 - 如果你正在為通過一些IT認證考試而憂心重重，選擇Royalholidayclubbed的説明吧。 另外，你還可以先試用VMware 250-607考古題的一部分。 在這個網路盛行的時代，有很多的方式方法以備你的FINRA的Microsoft DP-100認證考試，Royalholidayclubbed提供了最可靠的培訓的試題及答案，以備你順利通過FINRA的Microsoft DP-100認證考試，我們Royalholidayclubbed的FINRA的Microsoft DP-100考試認證有很多種，我們將滿足你所有有關IT認證。 Huawei H12-891_V1.0認證考試是現今很受歡迎的考試。 我們Royalholidayclubbed的FINRA的SAP C-BCSBS-2502考試培訓資料是以PDF和軟體格式提供，它包含Royalholidayclubbed的FINRA的SAP C-BCSBS-2502考試的試題及答案，你可能會遇到真實的SAP C-BCSBS-2502考試，這些問題堪稱完美，和可行之的有效的方法，在任何FINRA的SAP C-BCSBS-2502考試中獲得成功，Royalholidayclubbed FINRA的SAP C-BCSBS-2502 全面涵蓋所有教學大綱及複雜問題，Royalholidayclubbed的FINRA的SAP C-BCSBS-2502 考試的問題及答案是真正的考試挑戰，你必須要擦亮你的技能和思維定勢。
Updated: May 26, 2022
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