現在、FINRAのSeries63日本語版対策ガイド認定試験に受かりたいIT専門人員がたくさんいます。Omgzlookの試験トレーニング資料はFINRAのSeries63日本語版対策ガイド認定試験の１００パーセントの合格率を保証します。近年、IT領域で競争がますます激しくなります。 FINRAのSeries63日本語版対策ガイド認定試験というと、きっとわかっているでしょう。この資格を取得したら、新しい仕事を探す時、あなたが大きなヘルプを得ることができます。 Omgzlookは優れたIT情報のソースを提供するサイトです。
Uniform Securities State Law Series63 Omgzlookは君にとってベストな選択になります。
Uniform Securities State Law Series63日本語版対策ガイド - Uniform Securities Agent State Law Examination Omgzlookを選ぶなら、絶対に後悔させません。 OmgzlookのFINRAのSeries63 更新版試験トレーニング資料は試験問題と解答を含まれて、豊富な経験を持っているIT業種の専門家が長年の研究を通じて作成したものです。その権威性は言うまでもありません。
私たちは最も新しくて、最も正確性の高いFINRAのSeries63日本語版対策ガイド試験トレーニング資料を提供します。長年の努力を通じて、OmgzlookのFINRAのSeries63日本語版対策ガイド認定試験の合格率が１００パーセントになっていました。もし君はいささかな心配することがあるなら、あなたはうちの商品を購入する前に、Omgzlookは無料でサンプルを提供することができます。
FINRA Series63日本語版対策ガイド - 心はもはや空しくなく、生活を美しくなります。
世界は変化している、我々はできるだけそのペースを維持する必要があります。我々OmgzlookはFINRAのSeries63日本語版対策ガイド試験の変化を注目しています。数年以来の試験問題集を研究しています。現在あなたに提供するのは大切なFINRAのSeries63日本語版対策ガイド資料です。あなたの購入してから、我々はあなたにFINRAのSeries63日本語版対策ガイド資料の更新情況をつど提供します。このサービスは無料なのです。あなたが我々の資料を購入するとき、あなたのFINRAのSeries63日本語版対策ガイド試験に関するすべてのヘルプを購入しました。
また、Series63日本語版対策ガイド問題集に疑問があると、メールで問い合わせてください。現在IT技術会社に通勤しているあなたは、FINRAのSeries63日本語版対策ガイド試験認定を取得しましたか？Series63日本語版対策ガイド試験認定は給料の増加とジョブのプロモーションに役立ちます。
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
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
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.
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Updated: May 26, 2022