我們Shobhadoshi的IT認證考題擁有多年的培訓經驗，Shobhadoshi FINRA的Series63考古题推薦考試培訓資料是個值得信賴的產品，我們的IT精英團隊不斷為廣大考生提供最新版的Series63考古题推薦考試培訓資料，我們的工作人員作出了巨大努力，以確保你們在考試中總是取得好成績，可以肯定的是，Shobhadoshi FINRA的Series63考古题推薦考試材料是為你提供最實際的IT認證材料。 作為IT相關認證考試大綱的主要供應商，Shobhadoshi的IT專家一直不斷地提供品質較高的產品，不斷為客戶提供免費線上客戶服務，並以最快的速度更新考試大綱。 通過FINRA的Series63考古题推薦考試認證是從事IT行業的人的夢想，如果你想要變夢想為現實，你只需要選擇專業的培訓，Shobhadoshi就是一個專業的提供IT認證培訓資料的網站之一，選擇Shobhadoshi，它將與你同在，確保你成功，無論追求的是否有所增加，我們Shobhadoshi回讓你的夢想變成現實。

Uniform Securities State Law Series63 这样在考试时你就可以轻松自如地应对了。

因為我們Shobhadoshi提供給你配置最優質的類比FINRA的Series63 - Uniform Securities Agent State Law Examination考古题推薦的考試考古題，將你一步一步帶入考試準備之中，我們Shobhadoshi提供我們的保證，我們Shobhadoshi FINRA的Series63 - Uniform Securities Agent State Law Examination考古题推薦的考試試題及答案保證你成功。 或者你也可以選擇為你免費更新考試考古題。有了這樣的保障，實在沒有必要擔心了。

來吧，讓暴風雨來得更猛烈些吧！那些想通過IT認證的考生面臨那些考前準備將束手無策，但是又不得不準備，從而形成了那種急躁不安的心理狀態。不過，自從有了Shobhadoshi FINRA的Series63考古题推薦考試認證培訓資料，那種心態將消失的無蹤無影，因為有了Shobhadoshi FINRA的Series63考古题推薦考試認證培訓資料，他們可以信心百倍，不用擔心任何考不過的風險，當然也可以輕鬆自如的面對考試了，這不僅是心理上的幫助，更重要的是通過考試獲得認證，幫助他們拼一個美好的明天。

你很快就可以獲得FINRA FINRA Series63考古题推薦 認證考試的證書。

我受不了現在的生活和工作了，想做別的工作。你現在有這樣的想法嗎？但是，怎樣才能做更好的工作呢？你喜歡IT嗎？想通過IT來證明自己的實力嗎？如果你想從事IT方面的工作，那麼參加IT認定考試，取得認證資格是非常有必要的。你現在要做的就是參加被普遍認可的、有價值的IT資格考試。從而打開你職業生涯的新的大門。關於FINRA的Series63考古题推薦考試，你一定不陌生吧。取得這個資格可以讓你在找工作的時候得到一份助力。什麼？沒有信心參加這個考試嗎？沒關係，你可以使用Shobhadoshi的Series63考古题推薦考試資料。

但是報名參加FINRA Series63考古题推薦 認證考試是個明智的選擇，因為在如今競爭激烈的IT行業應該要不斷的提升自己。但是您可以選擇很多方式幫你通過考試。

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.

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Updated: May 26, 2022