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Series63全真模擬試験 & Finra Uniform Securities Agent State Law Examination対応内容 - Royalholidayclubbed
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実は措置を取ったら一回で試験に合格することができます。RoyalholidayclubbedのFINRAのSeries63全真模擬試験試験のトレーニング資料はとても良い選択なんですよ。Royalholidayclubbedの仮想ネットワークトレーニングと授業は大量の問題集に含まれていますから、ぜひあなたが気楽に試験に合格することを約束します。 夢を持ったら実現するために頑張ってください。「信仰は偉大な感情で、創造の力になれます。 IT業種のFINRAのSeries63全真模擬試験認定試験に合格したいのなら、Royalholidayclubbed FINRAのSeries63全真模擬試験試験トレーニング問題集を選ぶのは必要なことです。
Uniform Securities State Law Series63 あなたの夢は何ですか。
FINRAのSeries63 - Uniform Securities Agent State Law Examination全真模擬試験試験に受かったら、あなたの技能を検証できるだけでなく、あなたが専門的な豊富の知識を持っていることも証明します。 あなたは試験の最新バージョンを提供することを要求することもできます。最新のSeries63 日本語版試験勉強法試験問題を知りたい場合、試験に合格したとしてもRoyalholidayclubbedは無料で問題集を更新してあげます。
この資料は問題と解答に含まれていて、実際の試験問題と殆ど同じで、最高のトレーニング資料とみなすことができます。人々はそれぞれ自分の人生計画があります。違った選択をしたら違った結果を取得しますから、選択は非常に重要なことです。
FINRA Series63全真模擬試験 - 我々もオンライン版とソフト版を提供します。
Royalholidayclubbedは強いIT専門家のチームを持っていて、彼らは専門的な目で、最新的なFINRAのSeries63全真模擬試験試験トレーニング資料に注目しています。私たちのFINRAのSeries63全真模擬試験問題集があれば、君は少ない時間で勉強して、FINRAのSeries63全真模擬試験認定試験に簡単に合格できます。うちの商品を購入した後、私たちは一年間で無料更新サービスを提供することができます。
我々RoyalholidayclubbedはFINRAのSeries63全真模擬試験試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。また、我々はさらに認可を受けられるために、皆様の一切の要求を満足できて喜ぶ気持ちでずっと協力し、完備かつ精確のSeries63全真模擬試験試験問題集を開発するのに準備します。
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.
ATD CPTD - もし学習教材は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。 競争力が激しい社会に当たり、我々Royalholidayclubbedは多くの受験生の中で大人気があるのは受験生の立場からFINRA Salesforce Marketing-Cloud-Consultant試験資料をリリースすることです。 Royalholidayclubbedの FINRAのHuawei H20-181_V1.0試験トレーニング資料は高度に認証されたIT領域の専門家の経験と創造を含めているものです。 Splunk SPLK-1002J問題集のカーバー率が高いので、勉強した問題は試験に出ることが多いです。 我々はFINRAのSalesforce MuleSoft-Integration-Associate試験のデータを整理したり、分析したりするため、経験豊富なエリートチームにそれを完了させます。
Updated: May 26, 2022
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