Series63證照指南 & Finra Uniform Securities Agent State Law Examination真題材料 - Royalholidayclubbed

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通過這幾年IT行業不斷的發展與壯大，Series63證照指南考試已經成為FINRA考試裏的里程碑，可以讓你成為IT的專業人士，有數以百計的線上資源，提供FINRA的Series63證照指南考試的問題，為什麼大多數選擇Royalholidayclubbed，因為我們Royalholidayclubbed裏有一支龐大的IT精英團隊，專注於FINRA的Series63證照指南考試的最新資料。讓你無障礙通過FINRA的Series63證照指南考試認證。Royalholidayclubbed保證你第一次嘗試通過FINRA的Series63證照指南考試取得認證，Royalholidayclubbed會和你站在一起，與你同甘共苦。 Royalholidayclubbed提供的產品品質是非常好的，而且更新的速度也是最快的。如果你購買了我們提供的FINRA Series63證照指南認證考試相關的培訓資料，你是可以成功地通過FINRA Series63證照指南認證考試。有很多方法，以備你的 FINRA的Series63證照指南的考試，本站提供了可靠的培訓工具，以準備你的下一個FINRA的Series63證照指南的考試認證，我們Royalholidayclubbed FINRA的Series63證照指南的考試學習資料包括測試題及答案，我們的資料是通過實踐檢驗的軟體，我們將滿足所有的有關IT認證。

Uniform Securities State Law Series63 還會讓你又一個美好的前程。

經過我們確認之后，就會處理您的請求，這樣客戶擁有足夠的保障放心購買我們的FINRA Series63 - Uniform Securities Agent State Law Examination證照指南考古題。 Royalholidayclubbed FINRA的Series63 真題材料考試培訓資料可以幫助考生節省大量的時間和精力，考生也可以用多餘的時間和盡力來賺去更多的金錢。我們Royalholidayclubbed網站是在盡最大的努力為廣大考生提供最好最便捷的服務。

通過FINRA Series63證照指南的考試是不簡單的，選擇合適的培訓是你成功的第一步，選擇好的資訊來源是你成功的保障，而Royalholidayclubbed的產品是有很好的資訊來源保障。如果你選擇了Royalholidayclubbed的產品不僅可以100%保證你通過FINRA Series63證照指南認證考試，還可以為你提供長達一年的免費更新。

FINRA Series63證照指南 - 機會從來都是屬於那些有準備的人。

我們都知道在現在這個競爭激烈的IT行業，擁有一些IT相關認證證書是很有必要的。IT認證證書是對你的IT專業知識和經驗的最好證明。在IT行業中FINRA Series63證照指南認證考試是一個很重要的認證考試，但是通過FINRA Series63證照指南認證考試是有一定難度的。但是為了能讓工作職位有所提升花點金錢選擇一個好的培訓機構來幫助你通過考試是值得的。Royalholidayclubbed擁有最新的針對FINRA Series63證照指南認證考試的培訓資料，與真實的考試很95%相似性。如果你使用Royalholidayclubbed提供的培訓，你可以100%通過考試。如果你考試失敗，我們會全額退款。

當你在為準備Series63證照指南考試而努力學習並且感到很累的時候，你知道別人都在幹什麼嗎？看一下你周圍跟你一樣要參加IT認證考試的人。為什麼當你因為考試惴惴不安的時候，他們卻都一副自信滿滿、悠然自得的樣子呢？是你的能力不如他們高嗎？當然不是。

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
Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
A. Larry only
B. Larry and Mary only
C. Larry, Mary and Curly
D. Mary and Curly only
Answer: A
Explanation: As a director of the firm, Larry would automatically be registered as an investment adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are automatically registered as investment adviser representatives, Mary, as a sales representative, would
have to apply for her own registration. Curly does not need to be registered since he performs only clerical
duties.

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Updated: May 26, 2022

by RHC.

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