Series63考古題 & Series63題庫資料 - Series63題庫資訊 - Royalholidayclubbed

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要想通過FINRA Series63考古題考試認證，選擇相應的培訓工具是非常有必要的，而關於FINRA Series63考古題考試認證的研究材料是很重要的一部分，而我們Royalholidayclubbed能很有效的提供關於通過FINRA Series63考古題考試認證的資料，Royalholidayclubbed的IT專家個個都是實力加經驗組成的，他們的研究出來的材料和你真實的考題很接近，幾乎一樣，Royalholidayclubbed是專門為要參加認證考試的人提供便利的網站，能有效的幫助考生通過考試。你做到了嗎？Royalholidayclubbed FINRA的Series63考古題考試培訓資料是幫助每個想成功的IT人士提供的培訓資料，幫助你們順利通過FINRA的Series63考古題考試認證。為了不讓成功與你失之交臂，趕緊行動吧。對於 FINRA的Series63考古題考試認證每個考生都很迷茫。

Uniform Securities State Law Series63 但是這並不代表不能獲得高分輕鬆通過考試。

所以，只要你好好學習這個考古題，那麼通過Series63 - Uniform Securities Agent State Law Examination考古題考試就不再是難題了。對於Series63 認證題庫認證考試，你是怎麼想的呢？作為非常有人氣的FINRA認證考試之一，這個考試也是非常重要的。但是，當你為了更好地準備考試而尋找參考資料的時候，你會發現找到一本非常優秀的參考書是很難的。

即將參加FINRA的Series63考古題認證考試的你沒有信心通過考試嗎？不用害怕，因為Royalholidayclubbed可以提供給你最好的資料。Royalholidayclubbed的Series63考古題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。这是经过很多人证明过的事实。

FINRA Series63考古題 - 用最放鬆的心態面對一切艱難。

獲得Series63考古題認證已經成為大多數IT員工獲得更好工作的一種選擇，然而，許多考生一直在努力嘗試卻失敗了。如果你選擇使用我們的FINRA Series63考古題題庫產品，幫您最大程度保證取得成功。充分利用Series63考古題題庫你將得到不一樣的效果，這是一個針對性強，覆蓋面廣，更新快，最完整的學習資料，保證您一次通過Series63考古題考試。如果您想要真實的考試模擬，就選擇我們軟件版本的FINRA Series63考古題題庫，安裝在電腦上進行模擬，簡單易操作。

購買我們Royalholidayclubbed FINRA的Series63考古題考試認證的練習題及答案，你將完成你人生中最重要的考前準備問題，你將得到最高品質的培訓資料，今天購買我們的產品，是你為自己打開了新的大門，也是為了更美好的未來，也使你付出最小努力，獲得最大的成功。

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
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: 3
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: 4
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.

QUESTION NO: 5
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.

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Updated: May 26, 2022

by RHC.

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