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Series63試験情報 - Finra Uniform Securities Agent State Law Examination試験概要 - Royalholidayclubbed
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RoyalholidayclubbedのSeries63試験情報問題集を利用してから、一回で試験に合格することができるだけでなく、試験に必要な技能を身につけることもできます。FINRAのSeries63試験情報認定試験に関連する知識を学んで自分のスキルを向上させ、Series63試験情報認証資格を通して他人の認可を得たいですか。FINRAの認定試験はあなたが自分自身のレベルを高めることができます。 あなたの全部な需要を満たすためにいつも頑張ります。きみはFINRAのSeries63試験情報認定テストに合格するためにたくさんのルートを選択肢があります。 とにかく、これは皆さんのキャリアに大きな影響をもたらせる試験です。
Uniform Securities State Law Series63 きっと君に失望させないと信じています。
Royalholidayclubbedを選ぶなら、君は他の人の一半の努力で、同じFINRAのSeries63 - Uniform Securities Agent State Law Examination試験情報認定試験を簡単に合格できます。 我々は受験生の皆様により高いスピードを持っているかつ効率的なサービスを提供することにずっと力を尽くしていますから、あなたが貴重な時間を節約することに助けを差し上げます。Royalholidayclubbed FINRAのSeries63 関連資格知識試験問題集はあなたに問題と解答に含まれている大量なテストガイドを提供しています。
もし君はFINRAのSeries63試験情報認定試験に合格するのを通じて、競争が激しいIT業種での地位を高めて、IT技能を増強するなら、Royalholidayclubbedの FINRAのSeries63試験情報試験トレーニング資料を選んだほうがいいです。長年の努力を通じて、RoyalholidayclubbedのFINRAのSeries63試験情報認定試験の合格率が１００パーセントになっていました。Royalholidayclubbedを選ぶのは成功を選ぶのに等しいです。
FINRA Series63試験情報 - まだ何を待っていますか。
FINRA Series63試験情報資格認定はバッジのような存在で、あなたの所有する専業技術と能力を上司に直ちに知られさせます。次のジョブプロモーション、プロジェクタとチャンスを申し込むとき、FINRA Series63試験情報資格認定はライバルに先立つのを助け、あなたの大業を成し遂げられます。
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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
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: 3
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: 4
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: 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.
つまりCisco 300-410J練習問題はあなたの最も正しい選択です。 我々はあなたに提供するのは最新で一番全面的なFINRAのWorkday Workday-Prism-Analytics問題集で、最も安全な購入保障で、最もタイムリーなFINRAのWorkday Workday-Prism-Analytics試験のソフトウェアの更新です。 だから、Cloud Security Alliance CCSK復習教材を買いました。 FINRAのCompTIA 220-1101J試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。 あなたはその他のFINRA Huawei H13-222_V1.0「Uniform Securities Agent State Law Examination」認証試験に関するツールサイトでも見るかも知れませんが、弊社はIT業界の中で重要な地位があって、Royalholidayclubbedの問題集は君に100%で合格させることと君のキャリアに変らせることだけでなく一年間中で無料でサービスを提供することもできます。
Updated: May 26, 2022
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