|
|
 |
Series63受験トレーリング、Series63模擬問題集 - Finra Series63認定資格試験 - Royalholidayclubbed
|
|
RHC Destination Reviews
Who Is Harpy?
Need More Information?
Royalholidayclubbedが提供したFINRAのSeries63受験トレーリングトレーニング資料はあなたの雑然とした考えを整理できます。そうしたらあなたは心理的なストレスを減らせるだけでなく、気楽に試験に受かることもできます。Royalholidayclubbedには一部の問題と解答を無料に提供して差し上げますから、もし私の話を信じないのなら、試用版を使ってみてください。 試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。しかも、一年間の無料更新サービスを提供します。 この資料の成功率が１００パーセントに達して、あなたが試験に合格することを保証します。
Uniform Securities State Law Series63 「信仰は偉大な感情で、創造の力になれます。
すると、あなたがいつでも最新のSeries63 - Uniform Securities Agent State Law Examination受験トレーリング試験情報を持つことができます。 あなたの夢は何ですか。あなたのキャリアでいくつかの輝かしい業績を行うことを望まないのですか。
この重要な認証資格をもうすでに手に入れましたか。例えば、もう既にSeries63受験トレーリング認定試験を受験したのですか。もしまだ受験していないなら、はやく行動する必要がありますよ。
FINRA Series63受験トレーリング - 試験に失敗したら、全額で返金する承諾があります。
FINRAのSeries63受験トレーリング試験は大変です。あなたは復習資料に悩んでいるかもしれません。我々Royalholidayclubbedの提供するFINRAのSeries63受験トレーリングソフトを利用して自分の圧力を減少しましょう。我々のチームは複雑な問題集を整理するに通じて、毎年の試験の問題を分析して最高のFINRAのSeries63受験トレーリングソフトを作成します。今まで、我々は更新を努力しています。ご購入した後の一年間で、FINRAのSeries63受験トレーリング試験が更新されたら、あなたを理解させます。
我々もオンライン版とソフト版を提供します。すべては豊富な内容があって各自のメリットを持っています。
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license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.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
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: 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
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.
RoyalholidayclubbedはあなたのFINRAのGoogle Google-Workspace-Administrator-JPN試験を準備する間あなたの最もよい友達です。 我々RoyalholidayclubbedはFINRAのGoogle Associate-Cloud-Engineer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。 弊社はSAP C-TS470-2412問題集の英語版と日本語版をリリースしています。 たとえば、ベストセラーのFINRA NICET ITFAS-Level-1問題集は過去のデータを分析して作成ます。 Juniper JN0-281 - あるいは、他の科目の試験を変えていいです。
Updated: May 26, 2022
|
Copyright © 2006-2007 by RHC.
All rights
reserved. |
---------------
If you don't find what you are looking for here
to help you resolve your timeshare scam or Royal Holiday problem
please write to us at:
harpy @ royalholidayclubbed.com
www . Royal Holiday Clubbed . com
|
|