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Series63資格練習 & Finra Uniform Securities Agent State Law Examination最新問題 - Royalholidayclubbed
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この文は人々に知られています。試合と同じ、試験もそのどおりですよ。試験に準備する時間が十分ではないから、Series63資格練習認定試験を諦めた人がたくさんいます。 時間とお金の集まりより正しい方法がもっと大切です。FINRAのSeries63資格練習試験のために勉強していますなら、Royalholidayclubbedの提供するFINRAのSeries63資格練習試験ソフトはあなたの選びの最高です。 この問題集がIT業界のエリートに研究し出されたもので、素晴らしい練習資料です。
Uniform Securities State Law Series63 では、どんな参考書は選べる価値を持っていますか。
あなたは自分の望ましいFINRA Series63 - Uniform Securities Agent State Law Examination資格練習問題集を選らんで、学びから更なる成長を求められます。 不合格になる場合或いはFINRAのSeries63 専門知識内容問題集がどんな問題があれば、私たちは全額返金することを保証いたします。RoyalholidayclubbedのFINRAのSeries63 専門知識内容問題集を選んだら、成功を選ぶのに等しいです。
現在IT技術会社に通勤しているあなたは、FINRAのSeries63資格練習試験認定を取得しましたか？Series63資格練習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資格練習試験に一発合格したいなら、我々社のFINRAのSeries63資格練習資料を参考しましょう。また、Series63資格練習問題集に疑問があると、メールで問い合わせてください。
FINRA Series63資格練習 - 心はもはや空しくなく、生活を美しくなります。
あなたはインターネットでFINRAのSeries63資格練習認証試験の練習問題と解答の試用版を無料でダウンロードしてください。そうしたらあなたはRoyalholidayclubbedが用意した問題集にもっと自信があります。早くRoyalholidayclubbedの問題集を君の手に入れましょう。
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Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 3
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: 4
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: 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.
RoyalholidayclubbedにIT業界のエリートのグループがあって、彼達は自分の経験と専門知識を使ってFINRA HRCI SPHR認証試験に参加する方に対して問題集を研究続けています。 我々提供するPeoplecert ITIL-4-Practitioner-Release-Management試験資料はあなたの需要を満足できると知られています。 Huawei H13-811_V3.5 - もっと長い時間をもらって試験を準備したいのなら、あなたがいつでもサブスクリプションの期間を伸びることができます。 Nutanix NCP-US-6.5 - 人生は自転車に乗ると似ていて、やめない限り、倒れないから。 FINRAのISTQB CTAL_TM_001試験トレーニングソースを提供するサイトがたくさんありますが、Royalholidayclubbedは最実用な資料を提供します。
Updated: May 26, 2022
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