|
|
 |
Series63受験記対策 & Finra Uniform Securities Agent State Law Examination復習教材 - Royalholidayclubbed
|
|
RHC Destination Reviews
Who Is Harpy?
Need More Information?
試験を申し込みたいあなたは、いまどうやって試験に準備すべきなのかで悩んでいますか。そうだったら、下記のものを読んでください。いまSeries63受験記対策試験に合格するショートカットを教えてあげますから。 それは正確的な試験の内容を保証しますし、良いサービスで、安い価格で営業します。Royalholidayclubbedがあれば、FINRAのSeries63受験記対策試験に合格するのは心配しません。 ここには、私たちは君の需要に応じます。
Uniform Securities State Law Series63 このサービスは無料なのです。
また、Series63 - Uniform Securities Agent State Law Examination受験記対策問題集に疑問があると、メールで問い合わせてください。 弊社はお客様の皆様の利益を保証するために、あなたに高いクオリティのサービスを提供できて努力しています。今まで、弊社のRoyalholidayclubbedのSeries63 無料ダウンロード問題集はそのスローガンに沿って協力します。
人によって目標が違いますが、あなたにFINRA Series63受験記対策試験に順調に合格できるのは我々の共同の目標です。この目標の達成はあなたがIT技術領域へ行く更なる発展の一歩ですけど、我々社Royalholidayclubbed存在するこそすべての意義です。だから、我々社は力の限りで弊社のFINRA Series63受験記対策試験資料を改善し、改革の変更に応じて更新します。
FINRA Series63受験記対策 - 弊社の商品が好きなのは弊社のたのしいです。
周りの多くの人は全部FINRA Series63受験記対策資格認定試験にパースしまして、彼らはどのようにできましたか。今には、あなたにRoyalholidayclubbedを教えさせていただけませんか。我々社サイトのFINRA Series63受験記対策問題庫は最新かつ最完備な勉強資料を有して、あなたに高品質のサービスを提供するのはSeries63受験記対策資格認定試験の成功にとって唯一の選択です。躊躇わなくて、Royalholidayclubbedサイト情報を早く了解して、あなたに試験合格を助かってあげますようにお願いいたします。
Royalholidayclubbed を選択して１００％の合格率を確保することができて、もし試験に失敗したら、Royalholidayclubbedが全額で返金いたします。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 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.
そうすれば、自分はCompTIA N10-009J試験問題集を買うかどうか決めることができます。 あなたはインターネットでFINRAのNutanix NCP-US-6.5認証試験の練習問題と解答の試用版を無料でダウンロードしてください。 Amazon SOA-C02-KR - 情報源はあなたの成功の保障で、Royalholidayclubbedの商品はとてもいい情報保障ですよ。 Veeam VMCE_v12 - Royalholidayclubbedはまた一年間に無料なサービスを更新いたします。 Royalholidayclubbedはあなたが100% でHuawei H14-411_V1.0試験に合格させるの保証することができてまたあなたのために一年の無料の試験の練習問題と解答の更新サービス提供して、もし試験に失敗したら、弊社はすぐ全額で返金を保証いたします。
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
|
|