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Series63日本語版試験勉強法 & Series63技術内容 - Series63合格内容 - Royalholidayclubbed
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もし試験の準備を十分にしたかどうかを確認したいなら、ソフトウェア版のSeries63日本語版試験勉強法問題集を利用して自分のレベルをテストしてください。従って、すぐに自分の弱点や欠点を識別することができ、正しく次のSeries63日本語版試験勉強法学習内容を手配することもできます。あなたに最大の利便性を与えるために、Royalholidayclubbedは様々なバージョンの教材を用意しておきます。 我々Royalholidayclubbedは一番行き届いたアフタサービスを提供します。FINRA Series63日本語版試験勉強法試験問題集を購買してから、一年間の無料更新を楽しみにしています。 ここで私は明確にしたいのはRoyalholidayclubbedのSeries63日本語版試験勉強法問題集の核心価値です。
Uniform Securities State Law Series63 」とゴーリキーは述べました。
最も少ない時間とお金でFINRA Series63 - Uniform Securities Agent State Law Examination日本語版試験勉強法認定試験に高いポイントを取得したいですか。 IT業種で仕事しているあなたは、夢を達成するためにどんな方法を利用するつもりですか。実際には、IT認定試験を受験して認証資格を取るのは一つの良い方法です。
だから、Series63日本語版試験勉強法試験のために、弊社の商品を選ばれば、後悔することがないです。Series63日本語版試験勉強法参考資料を使用したお客様からいい評価をもらいました。Series63日本語版試験勉強法参考資料は多くの人の絶対いい選択です。
FINRA Series63日本語版試験勉強法 - もうこれ以上悩む必要がないですよ。
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日本語版試験勉強法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。
もっと重要なのは、この問題集はあなたが試験に合格することを保証できますから。この問題集よりもっと良いツールは何一つありません。
Series63 PDF DEMO:
QUESTION NO: 1
Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
A. Larry only
B. Larry and Mary only
C. Larry, Mary and Curly
D. Mary and Curly only
Answer: A
Explanation: As a director of the firm, Larry would automatically be registered as an investment adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are automatically registered as investment adviser representatives, Mary, as a sales representative, would
have to apply for her own registration. Curly does not need to be registered since he performs only clerical
duties.
QUESTION NO: 2
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: 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
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: 5
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.
ACFE CFE-Fraud-Prevention-and-Deterrence - あなたはいつでもサブスクリプションの期間を延長することができますから、より多くの時間を取って充分に試験を準備できます。 API API-571 - これは非常に価値がある試験なのですから、きっとあなたが念願を達成するのを助けられます。 Royalholidayclubbedはとても良い選択で、USGBC LEED-AP-BD-Cの試験を最も短い時間に縮められますから、あなたの費用とエネルギーを節約することができます。 Google Professional-Cloud-DevOps-Engineer-JPN - Royalholidayclubbedを選んび、成功を選びます。 ISACA CRISC-JPN - IT認証は同業種の欠くことができないものになりました。
Updated: May 26, 2022
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