OmgzlookのFINRAのSeries63模擬体験を利用した大勢の人々によると、FINRAのSeries63模擬体験試験の合格率は１００パーセントに達したのです。もし君が試験に関する問題があれば、私たちは最も早い時間で、解答します。一日も早くFINRAのSeries63模擬体験試験に合格したい？ Omgzlookが提供した問題と解答はIT領域のエリートたちが研究して、実践して開発されたものです。 OmgzlookにIT業界のエリートのグループがあって、彼達は自分の経験と専門知識を使ってFINRA Series63模擬体験認証試験に参加する方に対して問題集を研究続けています。君が後悔しないようにもっと少ないお金を使って大きな良い成果を取得するためにOmgzlookを選択してください。 私たちはあなたが簡単にFINRAのSeries63模擬体験認定試験に合格するができるという目標のために努力しています。
Uniform Securities State Law Series63 資料の整理に悩んでいますか。
Uniform Securities State Law Series63模擬体験 - Uniform Securities Agent State Law Examination 試験の目標が変わる限り、あるいは我々の勉強資料が変わる限り、すぐに更新して差し上げます。 我々は弊社のソフトを通してあなたにFINRAのSeries63 勉強時間試験に合格する喜びを感じさせると希望しています。あなたの成功も我々Omgzlookの成功です。
OmgzlookのFINRAのSeries63模擬体験試験トレーニング資料は最高のトレーニング資料です。IT職員としてのあなたは切迫感を感じましたか。Omgzlookを選んだら、成功への扉を開きます。
FINRA Series63模擬体験 - できるだけ100％の通過率を保証使用にしています。
Omgzlookは正確な選択を与えて、君の悩みを減らして、もし早くてFINRA Series63模擬体験認証をとりたければ、早くてOmgzlookをショッピングカートに入れましょう。あなたにとても良い指導を確保できて、試験に合格するのを助けって、Omgzlookからすぐにあなたの通行証をとります。
ただ、社会に入るIT卒業生たちは自分能力の不足で、Series63模擬体験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模擬体験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模擬体験向けの会社に入ります。
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
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: 3
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: 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
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