FINRA Series63 問題集

TopExamは君にSeries63の問題集を提供して、あなたの試験への復習にヘルプを提供して、君に難しい専門知識を楽に勉強させます。TopExamは君の試験への合格を期待しています。

弊社は無料FINRA Series63サンプルを提供します

お客様は問題集を購入する時、問題集の質量を心配するかもしれませんが、我々はこのことを解決するために、お客様に無料Series63サンプルを提供いたします。そうすると、お客様は購入する前にサンプルをダウンロードしてやってみることができます。君はこのSeries63問題集は自分に適するかどうか判断して購入を決めることができます。

Series63試験ツール：あなたの訓練に便利をもたらすために、あなたは自分のペースによって複数のパソコンで設置できます。

弊社は失敗したら全額で返金することを承諾します

我々は弊社のSeries63問題集に自信を持っていますから、試験に失敗したら返金する承諾をします。我々のFINRA Series63を利用して君は試験に合格できると信じています。もし試験に失敗したら、我々は君の支払ったお金を君に全額で返して、君の試験の失敗する経済損失を減少します。

一年間の無料更新サービスを提供します

君が弊社のFINRA Series63をご購入になってから、我々の承諾する一年間の更新サービスが無料で得られています。弊社の専門家たちは毎日更新状態を検査していますから、この一年間、更新されたら、弊社は更新されたFINRA Series63をお客様のメールアドレスにお送りいたします。だから、お客様はいつもタイムリーに更新の通知を受けることができます。我々は購入した一年間でお客様がずっと最新版のFINRA Series63を持っていることを保証します。

弊社のFINRA Series63を利用すれば試験に合格できます

弊社のFINRA Series63は専門家たちが長年の経験を通して最新のシラバスに従って研究し出した勉強資料です。弊社はSeries63問題集の質問と答えが間違いないのを保証いたします。

この問題集は過去のデータから分析して作成されて、カバー率が高くて、受験者としてのあなたを助けて時間とお金を節約して試験に合格する通過率を高めます。我々の問題集は的中率が高くて、100％の合格率を保証します。我々の高質量のFINRA Series63を利用すれば、君は一回で試験に合格できます。

安全的な支払方式を利用しています

Credit Cardは今まで全世界の一番安全の支払方式です。少数の手続きの費用かかる必要がありますとはいえ、保障があります。お客様の利益を保障するために、弊社のSeries63問題集は全部Credit Cardで支払われることができます。

領収書について：社名入りの領収書が必要な場合、メールで社名に記入していただき送信してください。弊社はPDF版の領収書を提供いたします。

FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:

1. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family of load funds that it encourages its representatives to promote. Representatives of the firm that sell shares in these funds to their clients receive a greater share of the load than they do if they sell load funds offered by other firms.
Based on these facts, which of the following statements is true?

A) Both A and B are true.
B) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure requirement necessary if the recommendation is a sound one that can be proved to be based on the client's specific situation.
C) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them and has a fiduciary responsibility to them.
D) John must provide his clients with a written disclosure that he will receive a greater remuneration for selling shares in the Load family of funds than if he sells them shares in other funds before he provides his clients with any investment advice.

2. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
B) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
C) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
D) Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.

3. Which of the following would not fall under the classification of "institutional investor"?

A) Franklin Templeton Mutual Funds
B) Neuring Investment Advisers
C) Chase Bank
D) Prudential Insurance

4. Which of the following describes an investment adviser that is not required to register with the state Administrator?

A) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.
B) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
C) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

5. Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?

A) CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
B) Both A and B are true.
C) As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
D) Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.

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