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Series63日本語版 & Finra Uniform Securities Agent State Law Examination復習解答例 - Royalholidayclubbed
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それで、IT人材として毎日自分を充実して、Series63日本語版問題集を学ぶ必要があります。弊社のSeries63日本語版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。あなたは自分の望ましいFINRA Series63日本語版問題集を選らんで、学びから更なる成長を求められます。 Series63日本語版問題集は、あなたに異なるシステムバージョンを提供します。あなたの特定の状況に基づいて、あなたに最も適するSeries63日本語版問題集バージョンを選択できます。 また、Series63日本語版問題集に疑問があると、メールで問い合わせてください。
Uniform Securities State Law Series63 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日本語版 - Uniform Securities Agent State Law Examination あなたは弊社の商品を買ったら一年間に無料でアップサービスが提供された認定試験に合格するまで利用しても喜んでいます。 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。
Royalholidayclubbedが提供した資料は最も全面的で、しかも更新の最も速いです。Royalholidayclubbedはその近道を提供し、君の多くの時間と労力も節約します。RoyalholidayclubbedはFINRAのSeries63日本語版認定試験「Uniform Securities Agent State Law Examination」に向けてもっともよい問題集を研究しています。
FINRA Series63日本語版 - はやくRoyalholidayclubbedのサイトを登録してくだい。
RoyalholidayclubbedのFINRAのSeries63日本語版試験トレーニング資料を手に入れたら、我々は一年間の無料更新サービスを提供します。それはあなたがいつでも最新の試験資料を持てるということです。試験の目標が変わる限り、あるいは我々の勉強資料が変わる限り、すぐに更新して差し上げます。あなたのニーズをよく知っていていますから、あなたに試験に合格する自信を与えます。
RoyalholidayclubbedのFINRAのSeries63日本語版試験トレーニング資料を選んだら、１００パーセントの成功率を保証します。もし失敗だったら、我々は全額で返金します。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 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
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.
SAP C_S4EWM_2023 - Royalholidayclubbedを選んだら、成功への扉を開きます。 Databricks Associate-Developer-Apache-Spark-3.5 - これに反して、あなたがずっと普通な職員だったら、遅かれ早かれ解雇されます。 問題が更新される限り、Royalholidayclubbedは直ちに最新版のSalesforce MKT-101資料を送ってあげます。 Amazon AIF-C01-JPN - 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。 あるいは、無料で試験Amazon AWS-Certified-Machine-Learning-Specialty問題集を更新してあげるのを選択することもできます。
Updated: May 26, 2022
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