返金するポリシーはありますか？ 失敗した場合、どうすれば返金できますか？

はい。弊社はあなたが我々の練習問題を使用して試験に合格しないと全額返金を保証します。返金プロセスは非常に簡単です：購入日から60日以内に不合格成績書を弊社に送っていいです。弊社は成績書を確認した後で、返金を行います。お金は７日以内に支払い口座に戻ります。

Tech4Examはどんな試験参考書を提供していますか？

テストエンジン：Series63試験試験エンジンは、あなた自身のデバイスにダウンロードして運行できます。インタラクティブでシミュレートされた環境でテストを行います。
PDF（テストエンジンのコピー）：内容はテストエンジンと同じで、印刷をサポートしています。

あなたのテストエンジンはどのように実行しますか？

あなたのPCにダウンロードしてインストールすると、FINRA Series63テスト問題を練習し、'練習試験'と '仮想試験'2つの異なるオプションを使用してあなたの質問と回答を確認することができます。
仮想試験 - 時間制限付きに試験問題で自分自身をテストします。
練習試験 - 試験問題を1つ1つレビューし、正解をビューします。

あなたはSeries63試験参考書の更新をどのぐらいでリリースしていますか？

すべての試験参考書は常に更新されますが、固定日付には更新されません。弊社の専門チームは、試験のアップデートに十分の注意を払い、彼らは常にそれに応じてSeries63試験内容をアップグレードします。

更新されたSeries63試験参考書を得ることができ、取得方法？

はい、購入後に1年間の無料アップデートを享受できます。更新があれば、私たちのシステムは更新されたSeries63試験参考書をあなたのメールボックスに自動的に送ります。

割引はありますか？

我々社は顧客にいくつかの割引を提供します。 特恵には制限はありません。 弊社のサイトで定期的にチェックしてクーポンを入手することができます。

Series63テストエンジンはどのシステムに適用しますか？

オンラインテストエンジンは、WEBブラウザをベースとしたソフトウェアなので、Windows / Mac / Android / iOSなどをサポートできます。どんな電設備でも使用でき、自己ペースで練習できます。オンラインテストエンジンはオフラインの練習をサポートしていますが、前提条件は初めてインターネットで実行することです。
ソフトテストエンジンは、Java環境で運行するWindowsシステムに適用して、複数のコンピュータにインストールすることができます。
PDF版は、Adobe ReaderやFoxit Reader、Google Docsなどの読書ツールに読むことができます。

購入後、どれくらいSeries63試験参考書を入手できますか？

あなたは5-10分以内にFINRA Series63試験参考書を付くメールを受信します。そして即時ダウンロードして勉強します。購入後にSeries63試験参考書を入手しないなら、すぐにメールでお問い合わせください。

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

1. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi

A) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
B) is in violation of NASAA rules regarding investment company shares.
C) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
D) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."

2. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the Administrator?

A) Maddie has the sole responsibility for notifying the Administrator.
B) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be an agent after she terminated her relationship with QuikDeals, so she need do nothing.
C) Both QuikDeals and Maddie are responsible for notifying the Administrator.
D) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.

3. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
B) Sam has 60 days to file an appeal of the decision in a court of law.
C) Sam can move to another state and apply for registration as an investment adviser there.
D) Sam has 45 days in which to file an appeal with the attorney general.

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Method I only
B) Method II only
C) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
D) Methods I and III only

5. In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P 500 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P 500 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced the client for the bonus.
Has MoeMoney violated any securities laws?

A) Yes. An investment adviser's compensation cannot be based on the capital appreciation of the portfolio.
B) No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its agreement with YourMoney.
C) Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package according to the Uniform Securities Act.
D) Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio it manages loses money.

質問と回答：