FINRA Series63 問題集

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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. Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and cannot be contacted. The client holds some stock in a company that just released some information that should make its stock price soar. Bob knows that this client would probably want to increase his holdings, so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the stock price did soar, and Bob's client earned a sizeable profit.
Is Bob in violation of any securities acts?

A) Yes. Bob is guilty of prohibited practice of churning.
B) Yes. It is against the law for an agent to open a margin account for a client without the client's.
C) No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this.
D) No, but only because Bob's client profited from Bob's intervention. If the stock had declined in.

2. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.
B) Wheeler need not register in the state, and the securities are also exempt from registration.
C) Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
D) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.

3. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.
Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?

A) No. An interest in a partnership is not considered a security.
B) No. It is not against the law to believe in oneself and promote one's ideas.
C) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.
D) Yes. Even an "offer" to sell securities must not contain any untruths.

4. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?

A) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
B) Yes. Noah is guilty of misappropriation and could have his license revoked.
C) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
D) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.

5. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a 16-year old cheerleader
B) a school district
C) a law firm that is organized as a partnership
D) a corporation

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