Tech4Examはどんな学習資料を提供していますか？

現代技術は人々の生活と働きの仕方を革新します（Series_63試験学習資料）。 広く普及しているオンラインシステムとプラットフォームは最近の現象となり、IT業界は最も見通しがある業界（Series_63試験認定）となっています。 企業や機関では、候補者に優れた教育の背景が必要であるという事実にもかかわらず、プロフェッショナル認定のようなその他の要件があります。それを考慮すると、適切なFINRA　Uniform Securities Agent State Law Examination試験認定は候補者が高給と昇進を得られるのを助けます。

無料デモをごダウンロードいただけます

様々な復習資料が市場に出ていることから、多くの候補者は、どの資料が適切かを知りません。この状況を考慮に入れて、私たちはFINRA　Series_63の無料ダウンロードデモを候補者に提供します。弊社のウェブサイトにアクセスしてUniform Securities Agent State Law Examinationデモをダウンロードするだけで、Series_63試験復習問題を購入するかどうかを判断するのに役立ちます。多数の新旧の顧客の訪問が当社の能力を証明しています。私たちのSeries_63試験の学習教材は、私たちの市場におけるファーストクラスのものであり、あなたにとっても良い選択だと確信しています。

Series_63試験学習資料を開発する専業チーム

私たちはSeries_63試験認定分野でよく知られる会社として、プロのチームにUniform Securities Agent State Law Examination試験復習問題の研究と開発に専念する多くの専門家があります。したがって、我々のFINRA Certification試験学習資料がSeries_63試験の一流復習資料であることを保証することができます。私たちは、FINRA Certification　Series_63試験サンプル問題の研究に約10年間集中して、候補者がSeries_63試験に合格するという目標を決して変更しません。私たちのSeries_63試験学習資料の質は、FINRA専門家の努力によって保証されています。それで、あなたは弊社を信じて、我々のUniform Securities Agent State Law Examination最新テスト問題集を選んでいます。

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Series_63試験認定を取られるメリット

ほとんどの企業では従業員が専門試験の認定資格を取得する必要があるため、Series_63試験の認定資格がどれほど重要であるかわかります。テストに合格すれば、昇進のチャンスとより高い給料を得ることができます。あなたのプロフェッショナルな能力が権威によって認められると、それはあなたが急速に発展している情報技術に優れていることを意味し、上司や大学から注目を受けます。より明るい未来とより良い生活のために私たちの信頼性の高いSeries_63最新試験問題集を選択しましょう。

Uniform Securities Agent State Law Examination試験学習資料での高い復習効率

ほとんどの候補者にとって、特にオフィスワーカー、Series_63試験の準備は、多くの時間とエネルギーを必要とする難しい作業です。だから、適切なSeries_63試験資料を選択することは、Series_63試験にうまく合格するのに重要です。高い正確率があるSeries_63有効学習資料によって、候補者はUniform Securities Agent State Law Examination試験のキーポイントを捉え、試験の内容を熟知します。あなたは約2日の時間をかけて我々のSeries_63試験学習資料を練習し、Series_63試験に簡単でパスします。

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

1. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
D) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.

2. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) III only
B) None of the selections are prohibited practices.
C) I and III only
D) II and III only

3. Under the Uniform Securities Act, which of the following does not need to be included when filing to
register a security issue with the state?

A) copies of the underwriter agreements
B) All of the above documents must be included when filing to register a security with the state.
C) a copy of the firm's articles of incorporation and bylaws, or the equivalent
D) a copy of any indenture applying to the security being registered

4. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
C) The issuer must have preferred stockholders as well as common stockholders.
D) The issuer must never have defaulted on any bond or long-term lease obligation.

5. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
B) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.
C) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

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