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Series63無料過去問 - Series63学習関連題 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
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どんなツールかと聞きたいでしょう。それはもちろんRoyalholidayclubbedのSeries63無料過去問問題集ですよ。Series63無料過去問試験の準備をするとき、がむしゃらにITに関連する知識を学ぶのは望ましくない勉強法です。 RoyalholidayclubbedのSeries63無料過去問問題集は多くの受験生に検証されたものですから、高い成功率を保証できます。もしこの問題集を利用してからやはり試験に不合格になってしまえば、Royalholidayclubbedは全額で返金することができます。 RoyalholidayclubbedはFINRAのSeries63無料過去問試験の最新の問題集を提供するの専門的なサイトです。
Uniform Securities State Law Series63 常々、時間とお金ばかり効果がないです。
我々はFINRAのSeries63 - Uniform Securities Agent State Law Examination無料過去問ソフトであなたに専門と高効率を示して、最全面的な問題集と詳しい分析であなたに助けてFINRAのSeries63 - Uniform Securities Agent State Law Examination無料過去問試験に合格して、最高のサービスであなたの信頼を得ています。 できるだけ100％の通過率を保証使用にしています。Royalholidayclubbedは多くの受験生を助けて彼らにFINRAのSeries63 関連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 関連試験試験を研究して解答を詳しく分析しますから。
FINRAのSeries63無料過去問試験のための資料がたくさんありますが、Royalholidayclubbedの提供するのは一番信頼できます。我々の提供するソフトを利用する人のほとんどは順調にFINRAのSeries63無料過去問試験に合格しました。その中の一部は暇な時間だけでFINRAのSeries63無料過去問試験を準備します。
FINRA Series63無料過去問 - 暇の時間を利用して勉強します。
Series63無料過去問資格認定は重要な課題になっていて、この資格認定書を所有している人は会社に得られる給料が高いです。我々Series63無料過去問問題集を利用し、試験に参加しましょう。試験に成功したら、あなたの知識と能力を証明することができます。あなたはこれらのSeries63無料過去問資格認定を持つ人々の一員になれると、いい仕事を探させます。
多分、Series63無料過去問テスト質問の数が伝統的な問題の数倍である。FINRA Series63無料過去問試験参考書は全ての知識を含めて、全面的です。
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.
我々のFINRA Google ChromeOS-Administrator問題集を購買するのはあなたの試験に準備する第一歩です。 FINRAのHP HPE2-B09の認定試験に合格すれば、就職機会が多くなります。 Huawei H20-722_V1.0問題集はオンライン版、ソフト版、とPDF版がありますので、とても便利です。 EMC D-NWR-DY-01 - あなたの全部な需要を満たすためにいつも頑張ります。 私たちのMicrosoft AZ-400試験参考書を利用し、Microsoft AZ-400試験に合格できます。
Updated: May 26, 2022
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