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Uniform Securities State Law Series63 それはいくつかの理由があります。

Uniform Securities State Law Series63問題サンプル - Uniform Securities Agent State Law Examination 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。 Shobhadoshiは成功の扉ですから、 Shobhadoshiを利用してください。人間ができるというのは、できることを信じるからです。

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FINRA Series63問題サンプル - それは正確性が高くて、カバー率も広いです。

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我々はあなたに提供するのは最新で一番全面的なFINRAのSeries63問題サンプル問題集で、最も安全な購入保障で、最もタイムリーなFINRAのSeries63問題サンプル試験のソフトウェアの更新です。無料デモはあなたに安心で購入して、購入した後1年間の無料FINRAのSeries63問題サンプル試験の更新はあなたに安心で試験を準備することができます、あなたは確実に購入を休ませることができます私たちのソフトウェアを試してみてください。

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.

無料デモはあなたに安心で購入して、購入した後1年間の無料FINRAのIIA IIA-CIA-Part2-JPN試験の更新はあなたに安心で試験を準備することができます、あなたは確実に購入を休ませることができます私たちのソフトウェアを試してみてください。 FINRAのISACA CISM試験に失敗しても、我々はあなたの経済損失を減少するために全額で返金します。 FINRAのHuawei H20-813_V1.0試験に合格するのは難しいですが、合格できるのはあなたの能力を証明できるだけでなく、国際的な認可を得られます。 CompTIA CLO-002J - 社会と経済の発展につれて、多くの人はIT技術を勉強します。 我々Shobhadoshiの提供するFINRAのCisco 200-201J試験のソフトは豊富な試験に関する資源を含めてあなたに最も真実のFINRAのCisco 200-201J試験環境で体験させます。

Updated: May 26, 2022