|
|
 |
Series63受験資料更新版 & Finra Uniform Securities Agent State Law Examination日本語練習問題 - Royalholidayclubbed
|
|
RHC Destination Reviews
Who Is Harpy?
Need More Information?
あなたに高品質で、全面的なSeries63受験資料更新版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受験資料更新版試験を知る人はいません。あなたはSeries63受験資料更新版試験に不安を持っていますか？Series63受験資料更新版参考資料をご覧下さい。 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。 弊社の商品が好きなのは弊社のたのしいです。
Uniform Securities State Law Series63 Royalholidayclubbedを選んだら、成功への扉を開きます。
ためらわずにRoyalholidayclubbedのFINRAのSeries63 - Uniform Securities Agent State Law Examination受験資料更新版試験トレーニング資料を購入しましょう。 Royalholidayclubbedはあなたが試験に合格するのを助けることができるだけでなく、あなたは最新の知識を学ぶのを助けることもできます。このような素晴らしい資料をぜひ見逃さないでください。
このサイトはIT認定試験を受けた受験生から広く好評されました。これはあなたに本当のヘルプを与えるサイトです。では、なぜRoyalholidayclubbedは皆さんの信頼を得ることができますか。
FINRA Series63受験資料更新版 - 君は成功の道にもっと近くなります。
常々、時間とお金ばかり効果がないです。正しい方法は大切です。我々Royalholidayclubbedは一番効果的な方法を探してあなたにFINRAのSeries63受験資料更新版試験に合格させます。弊社のFINRAのSeries63受験資料更新版ソフトを購入するのを決めるとき、我々は各方面であなたに保障を提供します。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受験資料更新版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。
まだFINRAのSeries63受験資料更新版認定試験に合格できるかどうかを悩んでいますか。Royalholidayclubbedを選びましょう。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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
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.
QUESTION NO: 5
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
A. I, II, and III
B. I and II only
C. II and III only
D. I and III only
Answer: C
Explanation: Only Selections II and III are true. A limited power-of-attorney gives the designated person
the right to obtain account statements, including tax statements, on behalf of the account holder and to
order the purchase of an asset for the account holder's account. Only a full (or unlimited) power-of-attorney allows the designated person to withdraw any proceeds from the account.
試験が更新されているうちに、我々はFINRAのMicrosoft AI-102-KR試験の資料を更新し続けています。 IAPP AIGP - もしうちの学習教材を購入した後、試験に不合格になる場合は、私たちが全額返金することを保証いたします。 SAP C_S4PM_2504 - 自分の幸せは自分で作るものだと思われます。 FINRAのMicrosoft DP-420試験に合格することができます。 あなたは弊社の高品質FINRA Huawei H13-321_V2.0試験資料を利用して、一回に試験に合格します。
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
|
|