Series63考試資料 & Finra Uniform Securities Agent State Law Examination考古題介紹 - Royalholidayclubbed

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如果你擁有了Royalholidayclubbed FINRA的Series63考試資料考試培訓資料，我們將免費為你提供一年的更新，這意味著你總是得到最新的考試認證資料，只要考試目標有所變化，以及我們的學習材料有所變化，我們將在第一時間為你更新。我們知道你的需求，我們將幫助得到 FINRA的Series63考試資料考試認證的信心，讓你可以安然無憂的去參加考試，並順利通過獲得認證。購買了Royalholidayclubbed的產品你就可以很容易地獲得FINRA的認證證書，這樣你在IT行業中又有了個非常大的提升。一般的FINRA認證考試是IT專家利用專業經驗研究出來的考試題和答案。人生有太多的變數和未知的誘惑，所以我們趁年輕時要為自己打下堅實的基礎，你準備好了嗎？Royalholidayclubbed FINRA的Series63考試資料考試培訓資料將是最好的培訓資料，它的效果將是你終生的伴侶，作為IT行業的你，你體會到緊迫感了嗎？選擇Royalholidayclubbed，你將打開你的成功之門，裏面有最閃耀的光芒等得你去揮灑，加油！

Uniform Securities State Law Series63 所以，不要犹豫赶紧行动吧。

Uniform Securities State Law Series63考試資料 - Uniform Securities Agent State Law Examination Royalholidayclubbed提供的培訓資料和正式的考試內容是非常接近的。我們的Series63 證照資訊認證PDF和軟件版本具有最新更新的問題解答，涵蓋了所有考試題目和課題大綱，在線測試引擎測試可以幫助您準備并熟悉實際考試情況。在您決定購買我們產品之前，您可以先免費嘗試FINRA Series63 證照資訊 PDF版本的DEMO，此外，我們還提供全天24/7的在線支持，以便為客戶提供最好的便利服務。

如果你考試失敗，我們會全額退款的。Royalholidayclubbed的資深專家利用他們豐富的知識和經驗研究出來的關於FINRA Series63考試資料 認證考試的練習題和答案和真實考試的試題有95%的相似性。我相信你對我們的產品將會很有信心。

FINRA Series63考試資料 - 永遠不要說你已經盡力了。

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Series63 PDF DEMO:

QUESTION NO: 1
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license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.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: 2
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: 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.

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Updated: May 26, 2022

by RHC.

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