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。Omgzlookが提供したのオンライン商品がIT業界では品質の高い学習資料、受験生の必要が満足できるサイトでございます。 それは問題ではないですよ。Omgzlookあなたを時間を節約させことができますから。 Omgzlookは実際の環境で本格的なFINRAのSeries63最新な問題集「Uniform Securities Agent State Law Examination」の試験の準備過程を提供しています。
Uniform Securities State Law Series63 」とゴーリキーは述べました。
OmgzlookのFINRAのSeries63 - Uniform Securities Agent State Law Examination最新な問題集試験トレーニング資料はIT認証試験を受ける全ての受験生が試験に合格することを助けるもので、受験生からの良い評価をたくさんもらいました。 あなたの夢は何ですか。あなたのキャリアでいくつかの輝かしい業績を行うことを望まないのですか。
この目標を達成するのは、あなたにとってIT分野での第一歩だけですが、我々のFINRAのSeries63最新な問題集ソフトを開発するすべての意義です。だから、我々は尽力して我々の問題集を多くしてOmgzlookの専門かたちに研究させてあなたの合格する可能性を増大します。あなたの利用するFINRAのSeries63最新な問題集ソフトが最新版のを保証するために、一年間の無料更新を提供します。
FINRA Series63最新な問題集 - 心配なく我々の真題を利用してください。
弊社のOmgzlookはIT認定試験のソフトの一番信頼たるバンドになるという目標を達成するために、弊社はあなたに最新版のFINRAのSeries63最新な問題集試験問題集を提供いたします。弊社のソフトを使用して、ほとんどのお客様は難しいと思われているFINRAのSeries63最新な問題集試験に順調に剛角しました。これも弊社が自信的にあなたに商品を薦める原因です。もし弊社のソフトを使ってあなたは残念で試験に失敗したら、弊社は全額で返金することを保証いたします。すべてのことの目的はあなたに安心に試験に準備さされるということです。
OmgzlookSeries63最新な問題集問題集は試験の範囲を広くカバーするだけでなく、質は高いです。OmgzlookのSeries63最新な問題集問題集を購入し勉強するだけ、あなたは試験にたやすく合格できます。
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.
Salesforce Sales-Cloud-Consultant-JPN - これをよくできるために、我々は全日24時間のサービスを提供します。 弊社のFINRA Dell D-SRM-A-01問題集を通して復習してから、真実的に自分の能力の向上を感じ、Dell D-SRM-A-01資格認定を受け取ります。 Fortinet FCSS_NST_SE-7.4 - 我々もオンライン版とソフト版を提供します。 あなたはCisco 700-805問題集をちゃんと覚えると、Cisco 700-805試験に合格することは簡単です。 我々OmgzlookはFINRAのMicrosoft PL-500-CN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。
Updated: May 26, 2022