Series63考古題介紹，Series63考題資訊 - Finra Series63最新試題 - Royalholidayclubbed

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對IT職員來說，沒有取得這個資格那麼會對工作帶來不好的影響。這個考試的認證資格可以給你的工作帶來很多有益的幫助，也可以幫助你晉升。總之這是一個可以給你的職業生涯帶來重大影響的考試。但是通過最新的FINRA Series63考古題介紹認證考試并不簡單，並不是僅僅依靠與Series63考古題介紹考試相關的書籍就可以辦到的。與其盲目的學習，還不如使用我們提供具有針對性的FINRA Series63考古題介紹題庫資料，保證您一次性就成功的通過考試。對于購買Series63考古題介紹題庫產品的客戶，我們還提供一年的免費更新服務。

Uniform Securities State Law Series63 使用Royalholidayclubbed你可以很快獲得你想要的證書。

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通過FINRA Series63考古題介紹認證考試可以給你帶來很多改變。比如工作，生活，都會有很大的提升，因為畢竟Series63考古題介紹考試是一個FINRA認證的相當重要的考試，但通過Series63考古題介紹考試不是那麼簡單的。

但是要想通過FINRA Series63考古題介紹資格認證卻不是一件簡單的事。

很多準備參加FINRA Series63考古題介紹認證考試的考生在網上也許看到了很多網站也線上提供有關FINRA Series63考古題介紹認證考試的資源。但是我們的Royalholidayclubbed是唯一一家由頂尖行業專家研究的參考材料研究出來的考試練習題和答案的網站。我們的資料能確保你第一次參加FINRA Series63考古題介紹認證考試就可以順利通過。

擁有高品質的考題資料，能幫助考生通過第一次嘗試的Series63考古題介紹考試。我們的Series63考古題介紹在線測試引擎版本不光可以模擬真實的考試環境，還支持設備離線使用，方便考生隨時隨地的學習理解。

Series63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 3
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: 4
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: 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

by RHC.

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