社会と経済の発展につれて、多くの人はIT技術を勉強します。なぜならば、IT職員にとって、FINRAのSeries63合格率書籍資格証明書があるのは肝心な指標であると言えます。自分の能力を証明するために、Series63合格率書籍試験に合格するのは不可欠なことです。 FINRAのSeries63合格率書籍ソフトを使用するすべての人を有効にするために最も快適なレビュープロセスを得ることができ、我々は、FINRAのSeries63合格率書籍の資料を提供し、PDF、オンラインバージョン、およびソフトバージョンを含んでいます。あなたの愛用する版を利用して、あなたは簡単に最短時間を使用してFINRAのSeries63合格率書籍試験に合格することができ、あなたのIT機能を最も権威の国際的な認識を得ます！ あなたにFINRA Series63合格率書籍試験に関する最新かつ最完備の資料を勉強させ、試験に合格させることだと信じます。
Uniform Securities State Law Series63 もし合格しないと、われは全額で返金いたします。
OmgzlookのFINRA Series63 - Uniform Securities Agent State Law Examination合格率書籍問題集は専門家たちが数年間で過去のデータから分析して作成されて、試験にカバーする範囲は広くて、受験生の皆様のお金と時間を節約します。 FINRA Series63 復習問題集「Uniform Securities Agent State Law Examination」認証試験に合格することが簡単ではなくて、FINRA Series63 復習問題集証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。
一年間で更新するなる、第一時間であなたのメールボックスに送ります。かねてIT認定試験資料を開発する会社として、高品質のFINRA Series63合格率書籍試験資料を提供したり、ビフォワ.アフタサービスに関心を寄せたりしています。我々社の職員は全日であなたのお問い合わせを待っております。
FINRA Series63合格率書籍 - それはあなたが夢を実現することを助けられます。
FINRA Series63合格率書籍認証試験に合格することが簡単ではなくて、FINRA Series63合格率書籍証明書は君にとってはIT業界に入るの一つの手づるになるかもしれません。しかし必ずしも大量の時間とエネルギーで復習しなくて、弊社が丹精にできあがった問題集を使って、試験なんて問題ではありません。
きっと望んでいるでしょう。では、常に自分自身をアップグレードする必要があります。
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
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: 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
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.
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Updated: May 26, 2022