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Series63技術試験 - Series63模擬トレーリング、Uniform Securities Agent State Law Examination - Royalholidayclubbed
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人によって目標が違いますが、あなたにFINRA Series63技術試験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技術試験試験資料を改善し、改革の変更に応じて更新します。 もしあなたは初心者若しくは専門的な技能を高めたかったら、RoyalholidayclubbedのFINRAのSeries63技術試験「Uniform Securities Agent State Law Examination」の試験問題があなたが一歩一歩自分の念願に近くために助けを差し上げます。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。 あなたに高品質で、全面的なSeries63技術試験参考資料を提供することは私たちの責任です。
Uniform Securities State Law Series63 やってみて購入します。
Uniform Securities State Law Series63技術試験 - Uniform Securities Agent State Law Examination 常々、時間とお金ばかり効果がないです。 IT業界で発展したいなら、FINRAのSeries63 日本語版問題集試験のような国際的な試験に合格するのは重要です。我々RoyalholidayclubbedはITエリートの皆さんの努力であなたにFINRAのSeries63 日本語版問題集試験に速く合格する方法を提供します。
Royalholidayclubbedは多くの受験生を助けて彼らにFINRAのSeries63技術試験試験に合格させることができるのは我々専門的なチームがFINRAのSeries63技術試験試験を研究して解答を詳しく分析しますから。試験が更新されているうちに、我々はFINRAのSeries63技術試験試験の資料を更新し続けています。できるだけ100％の通過率を保証使用にしています。
FINRA Series63技術試験 - 暇の時間を利用して勉強します。
Series63技術試験問題集は唯一無にな参考資料です。Series63技術試験問題集の内容は専門的かつ全面的で、覚えやすいです。また、Series63技術試験問題集は的中率が高いです。そのいくつの点で、Series63技術試験試験に合格することを保障できます。もし、お客様はSeries63技術試験問題集を買うとき、自分に適するかどうかという心配があります。その心配に対して、弊社はお客様に無料でSeries63技術試験問題集のデモを提供します。そうしたら、お客様はSeries63技術試験問題集を購入する前にデモをダウンロードしてやってみることができます。
そして、Series63技術試験試験参考書の問題は本当の試験問題とだいたい同じことであるとわかります。Series63技術試験試験参考書があれば,ほかの試験参考書を勉強する必要がないです。
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
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: 4
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: 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.
BOMI International CAP-2101-20 - Royalholidayclubbedを選られば、成功しましょう。 FINRAのHuawei H19-634_V1.0の認定試験に合格すれば、就職機会が多くなります。 Salesforce Platform-App-Builder - 弊社の勉強の商品を選んで、多くの時間とエネルギーを節約こともできます。 Adobe AD0-E724 - あなたの全部な需要を満たすためにいつも頑張ります。 FINRAのMicrosoft SC-300-KR認定試験の合格証明書はあなたの仕事の上で更に一歩の昇進で生活条件が向上することが助けられます。
Updated: May 26, 2022
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