FINRAのSeries63試験時間試験に合格することは容易なことではなくて、良い訓練ツールは成功の保証でShobhadoshiは君の試験の問題を準備してしまいました。君の初めての合格を目標にします。 Series63試験時間参考書についてもっと具体的な情報を得るために、Shobhadoshi会社のウエブサイトを訪問していただきます。そうすれば、実際のSeries63試験時間試験についての情報と特徴を得ることができます。 どんな業界で自分に良い昇進機会があると希望する職人がとても多いと思って、IT業界にも例外ではありません。

Uniform Securities State Law Series63 そうだったら、下記のものを読んでください。

このような受験生はSeries63 - Uniform Securities Agent State Law Examination試験時間認定試験で高い点数を取得して、自分の構成ファイルは市場の需要と互換性があるように充分な準備をするのは必要です。 もし不合格になったら、私たちは全額返金することを保証します。一回だけでFINRAのSeries63 復習時間試験に合格したい？Shobhadoshiは君の欲求を満たすために存在するのです。

ShobhadoshiのFINRAのSeries63試験時間試験トレーニング資料は必要とするすべての人に成功をもたらすことができます。FINRAのSeries63試験時間試験は挑戦がある認定試験です。現在、書籍の以外にインターネットは知識の宝庫として見られています。

FINRA Series63試験時間 - そこで、IT業界で働く人も多くなっています。

世の中に去年の自分より今年の自分が優れていないのは立派な恥です。それで、IT人材として毎日自分を充実して、Series63試験時間問題集を学ぶ必要があります。弊社のSeries63試験時間問題集はあなたにこのチャンスを全面的に与えられます。あなたは自分の望ましいFINRA Series63試験時間問題集を選らんで、学びから更なる成長を求められます。心はもはや空しくなく、生活を美しくなります。

最新のSeries63試験時間試験問題を知りたい場合、試験に合格したとしてもShobhadoshiは無料で問題集を更新してあげます。ShobhadoshiのSeries63試験時間教材を購入したら、あなたは一年間の無料アップデートサービスを取得しました。

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.

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Updated: May 26, 2022