FINRA Series63日本語受験教科書「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日本語受験教科書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。 Omgzlookは認定で優秀なIT資料のウエブサイトで、ここでFINRA Series63日本語受験教科書認定試験の先輩の経験と暦年の試験の材料を見つけることができるとともに部分の最新の試験の題目と詳しい回答を無料にダウンロードこともできますよ。弊社のIT技術専門家たち は質が高い問題集と答えを提供し、お客様が合格できるように努めています。 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。
Uniform Securities State Law Series63 あなたの夢は何ですか。
Omgzlook のFINRAのSeries63 - Uniform Securities Agent State Law Examination日本語受験教科書「Uniform Securities Agent State Law Examination」練習問題集と解答は実践の検査に合格したソフトウェアで、最も受験生に合うトレーニングツールです。 OmgzlookのSeries63 模試エンジン教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。試験問題集が更新されると、Omgzlookは直ちにあなたのメールボックスにSeries63 模試エンジン問題集の最新版を送ります。
もしあなたが初心者だったら、または自分の知識や専門的なスキルを高めたいのなら、OmgzlookのFINRAのSeries63日本語受験教科書問題集があなたを助けることができ、一歩一歩でその念願を実現することにヘルプを差し上げます。OmgzlookのFINRAのSeries63日本語受験教科書は試験に関する全ての質問が解決して差し上げられます。それに一年間の無料更新サービスを提供しますから、Omgzlookのウェブサイトをご覧ください。
FINRA Series63日本語受験教科書 - 自分がやっていることに満足していますか。
暇な時間だけでFINRAのSeries63日本語受験教科書試験に合格したいのですか。我々の提供するPDF版のFINRAのSeries63日本語受験教科書試験の資料はあなたにいつでもどこでも読めさせます。我々もオンライン版とソフト版を提供します。すべては豊富な内容があって各自のメリットを持っています。あなたは各バーションのFINRAのSeries63日本語受験教科書試験の資料をダウンロードしてみることができ、あなたに一番ふさわしいバーションを見つけることができます。
実際にはそれは全く不要です。IT認定試験はあなたの思い通りに神秘的なものではありません。
Series63 PDF DEMO:
QUESTION NO: 1
Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
A. Larry only
B. Larry and Mary only
C. Larry, Mary and Curly
D. Mary and Curly only
Answer: A
Explanation: As a director of the firm, Larry would automatically be registered as an investment adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are automatically registered as investment adviser representatives, Mary, as a sales representative, would
have to apply for her own registration. Curly does not need to be registered since he performs only clerical
duties.
QUESTION NO: 2
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: 3
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: 4
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: 5
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.
我々OmgzlookはFINRAのMicrosoft DP-203-KR試験問題集をリリースする以降、多くのお客様の好評を博したのは弊社にとって、大変な名誉なことです。 はやくOmgzlookのHP HPE6-A85問題集を入手しましょう。 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 Salesforce PDI-JPN試験資料をリリースすることです。 OmgzlookのFINRAのScrum PAL-Iの試験問題と解答は当面の市場で最も徹底的な正確的な最新的な模擬テストです。 SAP C_THR82_2405問題集のカーバー率が高いので、勉強した問題は試験に出ることが多いです。
Updated: May 26, 2022