高い的中率

我々のSeries_63トレーニング資料は数年間で認定試験に取り組んでいる専門家によって作成される問題集です。我々の資格問題集は本当の試験の内容をカバーします。我々のSeries_63学習ガイド資料を真面目に勉強した候補者はSeries_63認定試験の流れを慣れ、試験の問題形式を知って、実際の試験にうまく合格できます。さらに、我々のSeries_63学習資料の専門家は豊かな知識を有して、見通しがありますので、彼らは試験問題の主要な傾向を精確に予測し、我々のSeries_63オンライン練習エンジンの高い合格率を達するのに役立ちます。

デモをダウンロードする

あなたの夢を覚えていますか？かつて、宇宙を征服しようという野望もあったことを、まだ覚えていますか？すべてが落ち着いておらず、まだSeries_63実際のテストに備える時間があるので、止めないでください。あなたは別のオプションがあり、つまり、弊社のFINRA Series_63試験問題集です。我々のSeries_63学習ガイドにより、あなたは最後まで笑う人です。我々の資格問題集は以下のメリットを持っています。

速い配送サービス

我々のSeries_63学習資料は購入日から配送が待つのに数日かかる試験ファイルとは異なり、支払いの済みにすぐに問題集をあなたに送付します。それで、あなたは5～10分以内にFINRA Series_63練習資料を受けて、直ちにダウンロードして勉強します。重なる試験の体験がありますので、時間は重要なことであると認識ます。（Series_63試験問題集）あなたは試験にうまく合格したいなら、時間は重要な一環です。あなたは十分の時間を有して、資格問題集の内容をゆっくり勉強するからだと思います。

一年間の無料更新

我々のSeries_63トレーニング資料につきまして、無料更新のサービスが人々に紹介されます。別の試験問題集より、弊社のSeries_63学習ガイド資料を購入したお客様は一年間の無料更新サービスを楽しみます。我々のFINRA Series_63練習資料はお客様の関心点を第一に置き、最善を尽くしています。さらに、我々のSeries_63試験問題集はお客様のサポートを感謝するように、ディスカウントをお客様に提供します。

FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:

1. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A) Skip and either Mars or Venus, but not both
B) Both Skip and Venus
C) Skip, Mars, and Venus
D) Skip only

2. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk,
is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk
reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own
knowledge. Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice, and Erin must register as an investment adviser representative as the firm's
employee.
B) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.
C) Erin must register as an investment adviser since she is providing investment advice.
D) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.

3. 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 be subject to civil penalties for employing an individual whose license
had been revoked by the Administrator of another state.
B) 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.
C) 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.
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.

4. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 45 days.
B) 1 year.
C) 30 days.
D) 60 days.

5. Which of the following may be given to prospective investors during the "cooling off period?"

A) a copy of the registration statement
B) all of the above
C) a tombstone advertisement
D) a final prospectus

質問と回答：