|
|
 |
Series63試験問題解説集 - Finra Series63日本語的中対策 & Uniform Securities Agent State Law Examination - Royalholidayclubbed
|
|
RHC Destination Reviews
Who Is Harpy?
Need More Information?
現在IT技術会社に通勤しているあなたは、FINRAのSeries63試験問題解説集試験認定を取得しましたか？Series63試験問題解説集試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries63試験問題解説集試験に一発合格したいなら、我々社のFINRAのSeries63試験問題解説集資料を参考しましょう。また、Series63試験問題解説集問題集に疑問があると、メールで問い合わせてください。 だから、FINRA Series63試験問題解説集試験参考書を早く購入しましょう！多くの受験者にとって、Series63試験問題解説集試験資格証明書を取得することは簡単ではないです。 人によって目標が違いますが、あなたにFINRA Series63試験問題解説集試験に順調に合格できるのは我々の共同の目標です。
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試験問題解説集 - 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試験問題解説集認定試験「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試験問題解説集 - Royalholidayclubbedを選んだら、成功への扉を開きます。
生活で他の人が何かやったくれることをいつも要求しないで、私が他の人に何かやってあげられることをよく考えるべきです。職場でも同じです。ボスに偉大な価値を創造してあげたら、ボスは無論あなたをヘアします。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。ですから、IT認定試験に受かって、自分の能力を高めるべきです。 RoyalholidayclubbedのFINRAのSeries63試験問題解説集「Uniform Securities Agent State Law Examination」試験問題集はあなたが成功へのショートカットを与えます。IT 職員はほとんど行動しましたから、あなたはまだ何を待っているのですか。ためらわずにRoyalholidayclubbedのFINRAのSeries63試験問題解説集試験トレーニング資料を購入しましょう。
Royalholidayclubbedはあなたが試験に合格するのを助けることができるだけでなく、あなたは最新の知識を学ぶのを助けることもできます。このような素晴らしい資料をぜひ見逃さないでください。
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.
USGBC LEED-Green-Associate - 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USGBC LEED-Green-Associate問題集を更新してあげるのを選択することもできます。 ISTQB CTAL_TM_001-KR - Royalholidayclubbedの試験参考書を利用することを通して自分の目標を達成することができますから。 Microsoft MS-700-KR - なぜ受験生のほとんどはRoyalholidayclubbedを選んだのですか。 EMC D-ISM-FN-01 - 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。
Updated: May 26, 2022
|
Copyright © 2006-2007 by RHC.
All rights
reserved. |
---------------
If you don't find what you are looking for here
to help you resolve your timeshare scam or Royal Holiday problem
please write to us at:
harpy @ royalholidayclubbed.com
www . Royal Holiday Clubbed . com
|
|