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Series63日本語関連対策 & Series63技術問題、Series63日本語対策 - Royalholidayclubbed
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そのほか、もし試験に関連する知識をより多く知りたいなら、それもあなたの望みを満たすことができます。ここで私は明確にしたいのはRoyalholidayclubbedのSeries63日本語関連対策問題集の核心価値です。Royalholidayclubbedの問題集は100％の合格率を持っています。 我々社サイトのFINRA Series63日本語関連対策問題庫は最新かつ最完備な勉強資料を有して、あなたに高品質のサービスを提供するのはSeries63日本語関連対策資格認定試験の成功にとって唯一の選択です。躊躇わなくて、Royalholidayclubbedサイト情報を早く了解して、あなたに試験合格を助かってあげますようにお願いいたします。 RoyalholidayclubbedのFINRAのSeries63日本語関連対策試験トレーニング資料は豊富な経験を持っているIT専門家が研究したもので、問題と解答が緊密に結んでいるものです。
Uniform Securities State Law Series63 最もよくて最新で資料を提供いたします。
Uniform Securities State Law Series63日本語関連対策 - Uniform Securities Agent State Law Examination 他人の話を大切にしないで重要なのは自分の感じです。 FINRA Series63 ミシュレーション問題「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA Series63 ミシュレーション問題証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。
FINRAのSeries63日本語関連対策ソフトを購入してから一年間の無料更新サービスも提供します。試験に失敗したら、全額で返金する承諾があります。だから、FINRAのSeries63日本語関連対策試験に合格したいあなたは安心で弊社の商品を選べばいいんです。
FINRA Series63日本語関連対策 - 私の夢は最高のIT専門家になることです。
最も少ない時間とお金でFINRA Series63日本語関連対策認定試験に高いポイントを取得したいですか。短時間で一度に本当の認定試験に高いポイントを取得したいなら、我々RoyalholidayclubbedのFINRA Series63日本語関連対策日本語対策問題集は絶対にあなたへの最善なオプションです。このいいチャンスを把握して、RoyalholidayclubbedのSeries63日本語関連対策試験問題集の無料デモをダウンロードして勉強しましょう。
さて、はやく試験を申し込みましょう。Royalholidayclubbedはあなたを助けることができますから、心配する必要がないですよ。
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.
Huawei H23-021_V1.0 - そうすれば、わかりやすく、覚えやすいです。 Huawei H19-611_V2.0 - 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。 Huawei H20-692_V2.0 - 弊社の専門家は経験が豊富で、研究した問題集がもっとも真題と近づいて現場試験のうろたえることを避けます。 Royalholidayclubbedはあなたが必要とするすべてのSalesforce ADX-211参考資料を持っていますから、きっとあなたのニーズを満たすことができます。 RoyalholidayclubbedはFINRAのGoogle Professional-Cloud-DevOps-Engineer「Uniform Securities Agent State Law Examination」の認証試験の合格率を高めるのウエブサイトで、Royalholidayclubbed中のIT業界の専門家が研究を通じてFINRAのGoogle Professional-Cloud-DevOps-Engineerの認証試験について問題集を研究し続けています。
Updated: May 26, 2022
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