私たちは、OmgzlookのFINRAのSeries63日本語独学書籍問題集を使ったら、初めて認定試験を受ける君でも一回で試験に合格することができるということを保証します。もし認定試験に失敗したら、或いは学習教材は問題があれば、私たちは全額返金することを保証いたします。そして、OmgzlookのFINRAのSeries63日本語独学書籍問題集を購入したら、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。 きみはFINRAのSeries63日本語独学書籍認定テストに合格するためにたくさんのルートを選択肢があります。Omgzlookは君のために良い訓練ツールを提供し、君のFINRA認証試に高品質の参考資料を提供しいたします。 それは君の文化知識を増強でき、君の実践水準も増強でき、君をIT業種での本当のエリートになって、君に他人に羨ましい給料のある仕事をもたらすことができます。
Uniform Securities State Law Series63 現在あなたもこのような珍しい資料を得られます。
Uniform Securities State Law Series63日本語独学書籍 - Uniform Securities Agent State Law Examination Omgzlookはあなたが首尾よく試験に合格することを助けるだけでなく、あなたの知識と技能を向上させることもできます。 弊社のFINRAのSeries63 試験内容真題によって、資格認定証明書を受け取れて、仕事の昇進を実現できます。FINRAのSeries63 試験内容資格認定証明書を持つ人は会社のリーダーからご格別のお引き立てを賜ったり、仕事の昇進をたやすくなったりしています。
試験の準備をするためにOmgzlookのFINRAのSeries63日本語独学書籍試験トレーニング資料を買うのは冒険的行為と思ったとしたら、あなたの人生の全てが冒険なことになります。一番遠いところへ行った人はリスクを背負うことを恐れない人です。また、OmgzlookのFINRAのSeries63日本語独学書籍試験トレーニング資料が信頼できるのは多くの受験生に証明されたものです。
FINRA Series63日本語独学書籍 - 弊社は1年間の無料更新サービスを提供いたします。
IT認定試験の中でどんな試験を受けても、OmgzlookのSeries63日本語独学書籍試験参考資料はあなたに大きなヘルプを与えることができます。それは OmgzlookのSeries63日本語独学書籍問題集には実際の試験に出題される可能性がある問題をすべて含んでいて、しかもあなたをよりよく問題を理解させるように詳しい解析を与えますから。真剣にOmgzlookのFINRA Series63日本語独学書籍問題集を勉強する限り、受験したい試験に楽に合格することができるということです。
顧客様と販売者の間での信頼性は苦労かつ大切なことだと良く知られます。誠意をみなぎるFINRA Series63日本語独学書籍試験備考資料は我々チームの専業化を展示されるし、最完全の質問と再詳細の解説でもって試験に合格するのを助けるます。
Series63 PDF DEMO:
QUESTION NO: 1
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: 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
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: 4
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: 5
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.
Microsoft DP-203J - がむしゃらに試験に関連する知識を勉強しているのですか。 だから、Oracle 1z1-106試験に合格するには、Oracle 1z1-106問題集を買うことは最善の選択です。 ServiceNow CIS-CSM - まだ何を待っていますか。 そして、あなたはCompTIA PK0-005J復習教材の三種類のデモをダウンロードできます。 OmgzlookのFINRAのISACA CISM-CN試験トレーニング資料はFINRAのISACA CISM-CN認定試験を準備するのリーダーです。
Updated: May 26, 2022