Omgzlookで、あなたは自分に向いている製品をどちらでも選べます。Series63合格記認証試験に合格することは他の世界の有名な認証に合格して国際の承認と受け入れを取ることと同じです。Series63合格記認定試験もIT領域の幅広い認証を取得しました。 ほんとんどお客様は我々OmgzlookのFINRA Series63合格記問題集を使用してから試験にうまく合格しましたのは弊社の試験資料の有効性と信頼性を説明できます。競争力が激しい社会に当たり、我々Omgzlookは多くの受験生の中で大人気があるのは受験生の立場からFINRA Series63合格記試験資料をリリースすることです。 当社のIT専門家が最も経験と資格があるプロな人々で、我々が提供したテストの問題と解答は実際の認定試験と殆ど同じです。
Uniform Securities State Law Series63 あなたはそれをやったことができましたか。
FINRAのSeries63 - Uniform Securities Agent State Law Examination合格記試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でOmgzlookは君の試験の問題を準備してしまいました。 OmgzlookのFINRAのSeries63 資格試験試験トレーニング資料の値段は手頃で、IT認証の受験生のみなさんによく適用します。OmgzlookのFINRAのSeries63 資格試験試験資料は同じシラバスに従って研究されたのです。
どんな業界で自分に良い昇進機会があると希望する職人がとても多いと思って、IT業界にも例外ではありません。ITの専門者はFINRAのSeries63合格記認定試験があなたの願望を助けって実現できるのがよく分かります。Omgzlookはあなたの夢に実現させるサイトでございます。
FINRA Series63合格記 - もうこれ以上悩む必要がないですよ。
Omgzlookの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries63合格記認定試験対策模擬テスト問題集が研究しました。模擬テスト問題集と真実の試験問題がよく似ています。一目でわかる最新の出題傾向でわかりやすい解説と充実の補充問題があります。
もっと重要なのは、この問題集はあなたが試験に合格することを保証できますから。この問題集よりもっと良いツールは何一つありません。
Series63 PDF DEMO:
QUESTION NO: 1
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license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.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: 2
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: 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 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: 5
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.
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Updated: May 26, 2022