如果不相信就先試用一下。因為如果考試不合格的話Shobhadoshi會全額退款，所以你不會有任何損失。用過以後你就知道Series63最新考證考古題的品質了，因此趕緊試一下吧。 對于購買我們Series63最新考證題庫的考生，可以為你提供一年的免費跟新服務。如果你還在猶豫，試一下我們試用版本的PDF題目就知道效果了。 Shobhadoshi的考古題是眾多IT專家多年經驗的結晶，具有很高的價值。

通過FINRA Series63最新考證的認證考試可以提高你的IT職業技能。

但是如果你選擇了我們的Shobhadoshi，你會覺得拿到FINRA Series63 - Uniform Securities Agent State Law Examination最新考證認證考試的證書不是那麼難了。 通過FINRA Series63 最新考題認證考試肯定會給你帶來很好的工作前景，因為FINRA Series63 最新考題認證考試是一個檢驗IT知識的測試，而通過了FINRA Series63 最新考題認證考試，證明你的IT專業知識很強，有很強的能力，可以勝任一份很好的工作。

Shobhadoshi是一個能為很多參加FINRA Series63最新考證認證考試的IT行業專業人士提供相關輔導資料來幫助他們拿到FINRA Series63最新考證認證證書的網站。Shobhadoshi提供的學習資料是由Shobhadoshi的資深專家的豐富的行業經驗和專業知識研究出來的的，品質是很好，更新速度也非常快。並且我們提供的練習題是和真正的考試題目很接近的，幾乎是一樣的。

FINRA Series63最新考證 - 只要你用了它你就會發現，這一切都是真的。

Shobhadoshi為通過Series63最新考證考試提供最完整有效的方案，幫祝廣大考生在考試中獲得更多的優勢。確保你只獲得最新的和最有效的FINRA Series63最新考證考古題，我們也希望客戶能隨時隨地的訪問，于是有了多個版本的題庫資料。PDF版的題庫方便你閱讀，為你真實地再現Series63最新考證考試題目，軟件版本的題庫作為一個測試引擎，可以幫你模擬真實的Series63最新考證考試環境，為考生做好充足的考前準備。通過FINRA Series63最新考證考試不再是夢想，我們的考古題就可以確保你成功。

如果你想輕鬆通過考試，那麼快來試試吧。通過Series63最新考證認證考試好像是一件很難的事情。

Series63 PDF DEMO:

QUESTION NO: 1
Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:
A. only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B. immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
C. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
D. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
Answer: B
Explanation: Under the registration by coordination process, the security's registration with the state becomes effective immediately after approval by the SEC as long as the registration has been on file for
at least 20 days or the Uniform Securities Act has provided an exemption to this waiting period. This assumes, of course, that there is not a stop order or a proceeding pending.

QUESTION NO: 2
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: 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
Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
A. Larry only
B. Larry and Mary only
C. Larry, Mary and Curly
D. Mary and Curly only
Answer: A
Explanation: As a director of the firm, Larry would automatically be registered as an investment adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are automatically registered as investment adviser representatives, Mary, as a sales representative, would
have to apply for her own registration. Curly does not need to be registered since he performs only clerical
duties.

QUESTION NO: 5
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.

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Updated: May 26, 2022