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Uniform Securities State Law Series63 自分の幸せは自分で作るものだと思われます。
FINRAのSeries63 - Uniform Securities Agent State Law Examination資格受験料試験に合格したいんですか。 あなたは弊社の高品質FINRA Series63 試験資料試験資料を利用して、一回に試験に合格します。OmgzlookのFINRA Series63 試験資料問題集は専門家たちが数年間で過去のデータから分析して作成されて、試験にカバーする範囲は広くて、受験生の皆様のお金と時間を節約します。
しかし、我々Omgzlookチームは力を尽くしてあなたのFINRAのSeries63資格受験料試験を準備する圧力を減少して規範的な模擬問題と理解しやすい解答分析はあなたにFINRAのSeries63資格受験料試験に合格するコツを把握させます。試験に失敗したら、あなたのFINRAのSeries63資格受験料試験の成績書を提供して確認してから我々はすべての費用をあなたに払い戻します。Omgzlookはあなたの信頼を得る足ります。
FINRA Series63資格受験料 - そして、試験を安心に参加してください。
Omgzlookが提供したFINRAのSeries63資格受験料トレーニング資料を利用したら、FINRAのSeries63資格受験料認定試験に受かることはたやすくなります。Omgzlookがデザインしたトレーニングツールはあなたが一回で試験に合格することにヘルプを差し上げられます。 OmgzlookのFINRAのSeries63資格受験料トレーニング資料即ち問題と解答をダウンロードする限り、気楽に試験に受かることができるようになります。まだ困っていたら、我々の試用版を使ってみてください。ためらわずに速くあなたのショッピングカートに入れてください。でないと、絶対後悔しますよ。
FINRAのSeries63資格受験料試験を申し込むのは賢明な選択で今のは競争の激しいIT業界では、絶えず自分を高めるべきです。しかし多くの選択肢があるので君はきっと悩んでいましょう。
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.
Microsoft DP-300J - あなたが自分のキャリアでの異なる条件で自身の利点を発揮することを助けられます。 IIA IIA-CIA-Part1-CN - 弊社は君の試験に合格させるとともにまた一年の無料の更新のサービスも提供し、もし試験に失敗したら全額で返金いたします。 試験の準備をするためにOmgzlookのFINRAのDell D-ISAZ-A-01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。 IBM C1000-191 - でも、この試験がとても難しくてIT者になりたい方が障害になっています。 IT認定試験の中でどんな試験を受けても、OmgzlookのCompTIA N10-008J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。
Updated: May 26, 2022