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Series63コンポーネント - Series63模擬対策問題、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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その他、Series63コンポーネント試験認証証明書も仕事昇進にたくさんのメリットを与えられます。私たちの努力は自分の人生に更なる可能性を増加するためのことであるとよく思われます。あなたは弊社RoyalholidayclubbedのFINRA Series63コンポーネント試験問題集を利用し、試験に一回合格しました。 購入した前の無料の試み、購入するときのお支払いへの保障、購入した一年間の無料更新FINRAのSeries63コンポーネント試験に失敗した全額での返金…これらは我々のお客様への承諾です。常々、時間とお金ばかり効果がないです。 FINRA Series63コンポーネント問題集は我々Royalholidayclubbedでは直接に無料のダウンロードを楽しみにしています。
Uniform Securities State Law Series63 できるだけ100％の通過率を保証使用にしています。
それで、弊社の質高いSeries63 - Uniform Securities Agent State Law Examinationコンポーネント試験資料を薦めさせてください。 ただ、社会に入るIT卒業生たちは自分能力の不足で、Series63 専門トレーリング試験向けの仕事を探すのを悩んでいますか？それでは、弊社のFINRAのSeries63 専門トレーリング練習問題を選んで実用能力を速く高め、自分を充実させます。その結果、自信になる自己は面接のときに、面接官のいろいろな質問を気軽に回答できて、順調にSeries63 専門トレーリング向けの会社に入ります。
私たちのSeries63コンポーネント参考資料は十年以上にわたり、専門家が何度も練習して、作られました。あなたに高品質で、全面的なSeries63コンポーネント参考資料を提供することは私たちの責任です。私たちより、Series63コンポーネント試験を知る人はいません。
FINRA Series63コンポーネント - きっと君に失望させないと信じています。
FINRAのSeries63コンポーネント認証試験を選んだ人々が一層多くなります。Series63コンポーネント試験がユニバーサルになりましたから、あなたはRoyalholidayclubbed のFINRAのSeries63コンポーネント試験問題と解答￥を利用したらきっと試験に合格するができます。それに、あなたに極大な便利と快適をもたらせます。実践の検査に何度も合格したこのサイトは試験問題と解答を提供しています。皆様が知っているように、RoyalholidayclubbedはFINRAのSeries63コンポーネント試験問題と解答を提供している専門的なサイトです。
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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
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: 4
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: 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.
API API-580 - この試験は本当に難しいことがみんなは良く知っていますが、試験に受かるのは不可能ではないです。 SAP C-BCSBS-2502 - ためらわずに速くあなたのショッピングカートに入れてください。 Huawei H29-111_V1.0 - Royalholidayclubbedを利用したら、あなたはきっと自分の理想を実現することができます。 RoyalholidayclubbedのFINRAのMicrosoft DP-420J試験トレーニング資料はインターネットでの全てのトレーニング資料のリーダーです。 Oracle 1Z0-1161-1 - これは一般的に認められている最高級の認証で、あなたのキャリアにヘルプを与えられます。
Updated: May 26, 2022
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