FINRAのSeries63最速合格試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でOmgzlookは君の試験の問題を準備してしまいました。君の初めての合格を目標にします。 あなたは我々OmgzlookのFINRA Series63最速合格問題集を通して望ましい結果を得られるのは我々の希望です。疑問があると、Series63最速合格問題集デーモによる一度やってみてください。 ITの専門者はFINRAのSeries63最速合格認定試験があなたの願望を助けって実現できるのがよく分かります。
Uniform Securities State Law Series63 問題があったら気軽にお問いください、
Uniform Securities State Law Series63最速合格 - Uniform Securities Agent State Law Examination これは試験の準備をするために非常に効率的なツールですから。 Omgzlookが提供した資料は最も全面的で、しかも更新の最も速いです。OmgzlookはFINRAのSeries63 試験攻略認定試験に対して問題集を提供しておるサイトで、現場のFINRAのSeries63 試験攻略試験問題と模擬試験問題集を含みます。
それはOmgzlookのSeries63最速合格問題集です。気楽に試験に合格したければ、はやく試しに来てください。Series63最速合格認定試験に合格することは難しいようですね。
FINRA Series63最速合格 - ここには、私たちは君の需要に応じます。
Omgzlook のFINRAのSeries63最速合格問題集は最も徹底的で、最も正確で、かつアップ·ツー·デートなものです。当面の市場であなたに初めて困難を乗り越える信心を差し上げられるユニークなソフトです。FINRAのSeries63最速合格認証試験は世界でどの国でも承認されて、すべての国が分け隔てをしないの試験です。Omgzlook のFINRAのSeries63最速合格認証証明書はあなたが自分の知識と技能を高めることに助けになれることだけでなく、さまざまな条件であなたのキャリアを助けることもできます。Omgzlook のFINRAのSeries63最速合格問題集を利用することをお勧めいたします。
うちのFINRAのSeries63最速合格試験トレーニング資料を購入する前に、Omgzlookのサイトで、一部分のフリーな試験問題と解答をダンロードでき、試用してみます。君がうち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。
Series63 PDF DEMO:
QUESTION NO: 1
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: 2
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: 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
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: 5
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.
CompTIA 220-1102 - あなたに他の同じ値段の製品を無料に送って差し上げます。 IBM C1000-138 - 時間とお金の集まりより正しい方法がもっと大切です。 OmgzlookのFINRAのSAP C-SIGDA-2403トレーニング資料はあなたに期待するものを与えますから。 FINRAのSalesforce DEX-450J試験を準備しているあなたに試験に合格させるために、我々Omgzlookは模擬試験ソフトを更新し続けています。 Microsoft DP-420 - Omgzlookをクロックしたら、１００パーセントの成功を差し上げます。
Updated: May 26, 2022