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Uniform Securities State Law Series63 それは正確性が高くて、カバー率も広いです。
Uniform Securities State Law Series63テストトレーニング - Uniform Securities Agent State Law Examination IT夢を持っていたら、速くOmgzlookに来ましょう。 無料デモはあなたに安心で購入して、購入した後1年間の無料FINRAのSeries63 無料模擬試験試験の更新はあなたに安心で試験を準備することができます、あなたは確実に購入を休ませることができます私たちのソフトウェアを試してみてください。もちろん、我々はあなたに一番安心させるのは我々の開発する多くの受験生に合格させるFINRAのSeries63 無料模擬試験試験のソフトウェアです。
それに、一年間の無料更新サービスを提供することができます。Omgzlook はプロなウェブサイトで、受験生の皆さんに質の高いサービスを提供します。プリセールス.サービスとアフターサービスに含まれているのです。
FINRA Series63テストトレーニング - アフターサービスは会社を評価する重要な基準です。
今の社会の中で、ネット上で訓練は普及して、弊社は試験問題集を提供する多くのネットの一つでございます。Omgzlookが提供したのオンライン商品がIT業界では品質の高い学習資料、受験生の必要が満足できるサイトでございます。
そのほかに、どのバーションでも全面的で最新版のFINRAのSeries63テストトレーニングの資料を提供します。お客様に自分に一番ふさわしいFINRAのSeries63テストトレーニング試験の復習方式を提供するために、我々はFINRAのSeries63テストトレーニングの資料の3つのバーションを提供します。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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.
QUESTION NO: 5
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.
Amazon DVA-C02-JPN - 試験問題と解答に関する質問があるなら、当社は直後に解決方法を差し上げます。 返金を願うのに対して、お客様はSalesforce ANC-301に合格しない成績書を弊社に送付して、弊社は確認の後、支払い金額を全部返済します。 OmgzlookのFINRAのHumber College PREX-1060A試験問題資料は質が良くて値段が安い製品です。 我々社Omgzlookは試験政策の変化に応じて、FINRAのSAP C-TS4CO-2023-JPN問題集をタイムリーに更新しています。 SAP C-C4H51-2405 - 優れたキャリアを持ったら、社会と国のために色々な利益を作ることができて、国の経済が継続的に発展していることを進められるようになります。
Updated: May 26, 2022