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Series63合格率 - Series63日本語版問題解説 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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Royalholidayclubbedの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries63合格率認定試験対策模擬テスト問題集が研究しました。模擬テスト問題集と真実の試験問題がよく似ています。一目でわかる最新の出題傾向でわかりやすい解説と充実の補充問題があります。 いつまでもSeries63合格率試験に準備する皆様に便宜を与えるRoyalholidayclubbedは、高品質の試験資料と行き届いたサービスを提供します。調査、研究を経って、IT職員の月給の増加とジョブのプロモーションはFINRA Series63合格率資格認定と密接な関係があります。 RoyalholidayclubbedのFINRAのSeries63合格率の試験問題は同じシラバスに従って、実際のFINRAのSeries63合格率認証試験にも従っています。
そして、短い時間で勉強し、Series63合格率試験に参加できます。
現在、FINRAのSeries63 - Uniform Securities Agent State Law Examination合格率認定試験に受かりたいIT専門人員がたくさんいます。 そのデモはSeries63 日本語解説集試験資料の一部を含めています。私たちは本当にお客様の貴重な意見をSeries63 日本語解説集試験資料の作りの考慮に入れます。
Royalholidayclubbedは優れたIT情報のソースを提供するサイトです。Royalholidayclubbedで、あなたの試験のためのテクニックと勉強資料を見つけることができます。RoyalholidayclubbedのFINRAのSeries63合格率試験トレーニング資料は豊富な知識と経験を持っているIT専門家に研究された成果で、正確度がとても高いです。
それはRoyalholidayclubbedのFINRA Series63合格率問題集です。
Royalholidayclubbedの助けのもとで君は大量のお金と時間を费やさなくても復楽にFINRAのSeries63合格率認定試験に合格のは大丈夫でしょう。ソフトの問題集はRoyalholidayclubbedが実際問題によって、テストの問題と解答を分析して出来上がりました。Royalholidayclubbedが提供したFINRAのSeries63合格率の問題集は真実の試験に緊密な相似性があります。
Royalholidayclubbedは君にとってベストな選択になります。ここには、私たちは君の需要に応じます。
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.
FINRAのNCCER Fundamentals-of-Crew-Leadership認定試験はIT業界の中でとても重要な認証試験で、合格するために良い訓練方法で準備をしなければなりません。 RoyalholidayclubbedのFINRAのSalesforce CRT-450試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。 SAP C-TS410-2504 - Royalholidayclubbedは１００％の合格率を保証するだけでなく、1年間の無料なオンラインの更新を提供しております。 ATLASSIAN ACP-620-KR - 我々の誠意を信じてください。 RoyalholidayclubbedにFINRAのCompTIA CS0-003J試験のフルバージョンがありますから、最新のFINRAのCompTIA CS0-003Jのトレーニング資料をあちこち探す必要がないです。
Updated: May 26, 2022
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