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Series63技術問題、Finra Series63復習問題集 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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RoyalholidayclubbedのSeries63技術問題教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。試験問題集が更新されると、Royalholidayclubbedは直ちにあなたのメールボックスにSeries63技術問題問題集の最新版を送ります。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。 FINRAのSeries63技術問題試験を準備しているあなたに試験に合格させるために、我々Royalholidayclubbedは模擬試験ソフトを更新し続けています。自分のIT業界での発展を希望したら、FINRAのSeries63技術問題試験に合格する必要があります。 Series63技術問題認定試験の資格を取得するのは容易ではないことは、すべてのIT職員がよくわかっています。
Series63技術問題問題集は全面的かつわかりやすいです。
我々RoyalholidayclubbedはFINRAのSeries63 - Uniform Securities Agent State Law Examination技術問題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。 PC版は、実際の試験環境を模擬し、Windowsシステムのコンピュータに適します。Series63 日本語試験情報試験資料の3つのバージョンのなかで、PDFバージョンのSeries63 日本語試験情報トレーニングガイドは、ダウンロードと印刷でき、受験者のために特に用意されています。
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 Series63技術問題試験資料をリリースすることです。たとえば、ベストセラーのFINRA Series63技術問題問題集は過去のデータを分析して作成ます。ほんとんどお客様は我々RoyalholidayclubbedのFINRA Series63技術問題問題集を使用してから試験にうまく合格しましたのは弊社の試験資料の有効性と信頼性を説明できます。
FINRA Series63技術問題 - 我々の誠意を信じてください。
Royalholidayclubbedはきっとご存じしています。それは現在、市場上でFINRA のSeries63技術問題認定試験に合格する率が一番高いからです。あなたはうちのFINRAのSeries63技術問題問題集を購入する前に、一部分のフリーな試験問題と解答をダンロードして、試用してみることができます。ご利用によってで、うちのFINRAのSeries63技術問題問題集は正確性が高いです。FINRAのSeries63技術問題問題集を購入したら、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。
自分のIT業界での発展を希望したら、FINRAのSeries63技術問題試験に合格する必要があります。FINRAのSeries63技術問題試験はいくつ難しくても文句を言わないで、我々Royalholidayclubbedの提供する資料を通して、あなたはFINRAのSeries63技術問題試験に合格することができます。
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を選ぶなら、君がFINRAのMicrosoft DP-420J認定試験に合格するということできっと喜んでいます。 弊社のISACA CISA-JPN問題集はあなたにこのチャンスを全面的に与えられます。 SAP C-WME-2506 - 我々のデモから感じられます。 短時間でIFSE Institute LLQP試験に一発合格したいなら、我々社のFINRAのIFSE Institute LLQP資料を参考しましょう。 FINRAのGoogle Apigee-API-Engineer試験にリラクスで合格するのも可能性があります。
Updated: May 26, 2022
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