OmgzlookのFINRAのSeries63日本語版参考資料問題集を購入するなら、君がFINRAのSeries63日本語版参考資料認定試験に合格する率は１００パーセントです。あなたはOmgzlookの学習教材を購入した後、私たちは一年間で無料更新サービスを提供することができます。FINRAのSeries63日本語版参考資料認定試験に合格することはきっと君の職業生涯の輝い将来に大変役に立ちます。 利用してからあなたも弊社のFINRAのSeries63日本語版参考資料試験ソフトに自信を持っています。あなたは自信満々にFINRAのSeries63日本語版参考資料試験に参加することができます。 常々、時間とお金ばかり効果がないです。
Uniform Securities State Law Series63 できるだけ100％の通過率を保証使用にしています。
Uniform Securities State Law Series63日本語版参考資料 - Uniform Securities Agent State Law Examination それで、「就職難」の場合には、他の人々と比べて、あなたはずっと優位に立つことができます。 ただ、社会に入るIT卒業生たちは自分能力の不足で、Series63 独学書籍試験向けの仕事を探すのを悩んでいますか？それでは、弊社のFINRAのSeries63 独学書籍練習問題を選んで実用能力を速く高め、自分を充実させます。その結果、自信になる自己は面接のときに、面接官のいろいろな質問を気軽に回答できて、順調にSeries63 独学書籍向けの会社に入ります。
我々社のFINRA Series63日本語版参考資料問題集を購入するかどうかと疑問があると、弊社OmgzlookのSeries63日本語版参考資料問題集のサンプルをしてみるのもいいことです。試用した後、我々のSeries63日本語版参考資料問題集はあなたを試験に順調に合格させると信じられます。なぜと言うのは、我々社の専門家は改革に応じて問題の更新と改善を続けていくのは出発点から勝つからです。
FINRA Series63日本語版参考資料 - 暇の時間を利用して勉強します。
Series63日本語版参考資料問題集は唯一無にな参考資料です。Series63日本語版参考資料問題集の内容は専門的かつ全面的で、覚えやすいです。また、Series63日本語版参考資料問題集は的中率が高いです。そのいくつの点で、Series63日本語版参考資料試験に合格することを保障できます。もし、お客様はSeries63日本語版参考資料問題集を買うとき、自分に適するかどうかという心配があります。その心配に対して、弊社はお客様に無料でSeries63日本語版参考資料問題集のデモを提供します。そうしたら、お客様はSeries63日本語版参考資料問題集を購入する前にデモをダウンロードしてやってみることができます。
そして、Series63日本語版参考資料試験参考書の問題は本当の試験問題とだいたい同じことであるとわかります。Series63日本語版参考資料試験参考書があれば,ほかの試験参考書を勉強する必要がないです。
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