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Series63證照資訊 & Finra Uniform Securities Agent State Law Examination熱門考古題 - Royalholidayclubbed
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隨著Series63證照資訊考試的變化，Royalholidayclubbed已經跟新了考試問題和答案，包括一些新增的問題，通過使用更新版本的FINRA Series63證照資訊考古題，您可以輕松快速的通過考試，還節約寶貴的時間。獲得Series63證照資訊認證之后，您的職業生涯也將開始新的輝煌時期。購買我們的FINRA Series63證照資訊題庫資料可以保證考生一次性通過考試，這是值得大家信賴的題庫網站，可以幫大家減少考試成本，節約時間，是上班族需要獲取Series63證照資訊認證的最佳選擇。 Royalholidayclubbed的專家團隊針對FINRA Series63證照資訊 認證考試研究出了最新的短期有效培訓方案，為參加FINRA Series63證照資訊 認證考試的考生進行20個小時左右的培訓，他們就能快速掌握很多知識和鞏固自己原有的知識，還能輕鬆通過FINRA Series63證照資訊 認證考試，比那些花大量的時間和精力準備考試的人輕鬆得多。 你也會很快很順利的通過FINRA Series63證照資訊的認證考試。
Uniform Securities State Law Series63 這樣你就可以一直擁有最新的試題資料。
Uniform Securities State Law Series63證照資訊 - Uniform Securities Agent State Law Examination 另外，你也可以在購買之前先試用一下資料的樣本。 你可以提前感受到真實的考試。這樣你在真實的考試中就不會感到緊張。
不要再猶豫了，如果想體驗一下考古題的內容，那麼快點擊Royalholidayclubbed的網站獲取吧。你可以免費下載考古題的一部分。在購買考古題之前，你可以去Royalholidayclubbed的網站瞭解更多的資訊，更好地瞭解這個網站。
而且通過 FINRA FINRA Series63證照資訊 認證考試也不是很簡單的。
Royalholidayclubbed是一個你可以完全相信的網站。Royalholidayclubbed的IT技術專家為了讓大家可以學到更加高效率的資料一直致力於各種IT認證考試的研究，從而開發出了更多的考試資料。只要你使用過一次Royalholidayclubbed的資料，你就肯定還想用第二次。因為Royalholidayclubbed不但給你提供最好的資料，而且為你提供最優質的服務。如果你對我們的產品有任何意見都可以隨時提出，因為我們不僅以讓廣大考生輕鬆通過考試為宗旨，更把為大家提供最好的服務作為我們的目標。
為了通過FINRA Series63證照資訊 認證考試，請選擇我們的Royalholidayclubbed來取得好的成績。你不會後悔這樣做的，花很少的錢取得如此大的成果這是值得的。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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: 5
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.
CompTIA CAS-004 - 因為這是國際廣泛認可的資格，因此參加FINRA的認證考試的人也越來越多了。 FINRA ACFE CFE-Law 認證證書對在IT行業中的你工作是很有幫助的，對你的職位和工資有很大提升，讓你的生活更有保障。 UiPath UiPath-TAEPv1題庫資料包含真實的考題體型，100%幫助考生通過考試。 CompTIA 220-1202 - Royalholidayclubbed提供的產品有很高的品質和可靠性。 使用我們軟件版本的Salesforce CRT-251題庫可以幫您評估自己掌握的知識點，從而在考試期間增加問題的回憶，幫助快速完成考試。
Updated: May 26, 2022
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