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Series63題庫資源 & Series63題庫資訊，Series63測試題庫 - Royalholidayclubbed
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在這個網路盛行的時代，有很多的方式方法以備你的FINRA的Series63題庫資源認證考試，Royalholidayclubbed提供了最可靠的培訓的試題及答案，以備你順利通過FINRA的Series63題庫資源認證考試，我們Royalholidayclubbed的FINRA的Series63題庫資源考試認證有很多種，我們將滿足你所有有關IT認證。 Series63題庫資源認證考試是現今很受歡迎的考試。還沒有取得這個考試的認證資的你，肯定也想參加這個考試了吧。 我們Royalholidayclubbed的FINRA的Series63題庫資源考試培訓資料是以PDF和軟體格式提供，它包含Royalholidayclubbed的FINRA的Series63題庫資源考試的試題及答案，你可能會遇到真實的Series63題庫資源考試，這些問題堪稱完美，和可行之的有效的方法，在任何FINRA的Series63題庫資源考試中獲得成功，Royalholidayclubbed FINRA的Series63題庫資源 全面涵蓋所有教學大綱及複雜問題，Royalholidayclubbed的FINRA的Series63題庫資源 考試的問題及答案是真正的考試挑戰，你必須要擦亮你的技能和思維定勢。
Uniform Securities State Law Series63 來吧，你將是未來最棒的IT專家。
Uniform Securities State Law Series63題庫資源 - Uniform Securities Agent State Law Examination 我們的方案是可以100%保證你通過考試的，並且還為你提供一年的免費更新服務。 一生輾轉千萬裏，莫問成敗重幾許，得之坦然，失之淡然，與其在別人的輝煌裏仰望，不如親手點亮自己的心燈，揚帆遠航。Royalholidayclubbed FINRA的Series63 最新題庫考試培訓資料將是你成就輝煌的第一步，有了它，你一定會通過眾多人都覺得艱難無比的FINRA的Series63 最新題庫考試認證，獲得了這個認證，你就可以在你人生中點亮你的心燈，開始你新的旅程，展翅翱翔，成就輝煌人生。
Royalholidayclubbed是個能夠加速你通過FINRA Series63題庫資源認證考試的網站。我們的FINRA Series63題庫資源 認證考試的考古題是Royalholidayclubbed的專家不斷研究出來的。當你還在為通過FINRA Series63題庫資源 認證考試而奮鬥時，選擇Royalholidayclubbed的FINRA Series63題庫資源 認證考試的最新考古題將給你的復習備考帶來很大的幫助。
Royalholidayclubbed可以幫助你通過FINRA FINRA Series63題庫資源認證考試。
FINRA的認證考試現在是很有人氣的考試。你已經取得了這個重要的認證資格嗎？比如，你已經參加了現在參加人數最多的Series63題庫資源考試了嗎？如果還沒有的話，你應該儘快採取行動了。你必須要拿到如此重要的認證資格。在這裏我想說的就是怎樣才能更有效率地準備Series63題庫資源考試，並且一次就通過考試拿到考試的認證資格。
在這裏我要說明的是這Royalholidayclubbed一個有核心價值的問題，所有FINRA的Series63題庫資源考試都是非常重要的，但在個資訊化快速發展的時代，Royalholidayclubbed只是其中一個，為什麼大多數人選擇Royalholidayclubbed，是因為Royalholidayclubbed所提供的考題資料一定能幫助你通過測試，，為什麼呢，因為它提供的資料都是最新的培訓工具不斷更新，不斷變換的認證考試目標，為你提供最新的考試認證研究資料，有了Royalholidayclubbed FINRA的Series63題庫資源，你看到考試將會信心百倍，不用擔心任何考不過的風險，讓你毫不費力的獲得認證。
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
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: 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
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: 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
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