所有的IT職員都知道，IT認證考試的資格是不容易拿到的。但是，參加IT認證考試獲得資格又是提升自己能力以及更好地證明自己的價值的途徑，所以不得不選擇。那麼，難道沒有一個簡單的方法可以讓大家更容易地通過IT認證考試嗎？當然有了。 在短短幾年中，FINRA的Series63試題考試認證在日常生活中給人們造成了影響，但未來的關鍵問題是如何更有效的第一次通過FINRA的Series63試題考試認證？回答這個問題就是利用Shobhadoshi FINRA的Series63試題考試培訓資料，有了它便實現了你的第一次通過考試認證，你還在等什麼，去獲得Shobhadoshi FINRA的Series63試題考試培訓資料，有了它將得到更多你想要的東西。 如果你想在IT行業擁有更好的發展，擁有高端的技術水準，FINRA Series63試題是確保你獲得夢想工作的唯一選擇，為了實現這一夢想，趕快行動吧！

Uniform Securities State Law Series63 Shobhadoshi是可以帶你通往成功之路的網站。

ShobhadoshiのSeries63 - Uniform Securities Agent State Law Examination試題考古題是最可信的资料。 Shobhadoshi就是眾多線上培訓網站之一。Shobhadoshi的線上培訓有著多年的經驗，可以為參加FINRA 最新 Series63 考題 認證考試的考生提供高品質的學習資料，來能滿足考生的所有需求。

一直想要提升自身的你，有沒有參加Series63試題認證考試的計畫呢？如果你想參加這個考試，你準備怎麼準備考試呢？也許你已經找到了適合自己的參考資料了。那麼，什麼資料有讓你選擇的價值呢？你選擇的是不是Shobhadoshi的Series63試題考古題？如果是的話，那麼你就不用再擔心不能通過考試了。

FINRA Series63試題 - 如果你有夢想就去捍衛它。

Series63試題認證考試是FINRA 的認證考試中分量比較重的一個。但是要通過FINRA Series63試題認證考試不是那麼簡單。Shobhadoshi為了給正在為Series63試題認證考試的備考的考生減輕壓力，節約時間和精力，專門研究了多種培訓工具，所以在Shobhadoshi你可以選擇適合你的快速培訓方式來通過考試。

你的夢想是什麼？難道你不想在你的職業生涯中做出一番閃耀的成就嗎？肯定是想的吧。那麼，你就需要不斷提升自己，鍛煉自己。

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