Series63試験学習資料を開発する専業チーム

私たちはSeries63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Uniform Securities State Law試験学習資料がSeries63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、Uniform Securities State Law　Series63試験サンプル問題の研究に約10年間集中して、候補者がSeries63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Series63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。

デモをダウンロードする

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（Series63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（Series63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。

Series63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、Series63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Series63最新試験問題集を選択しましょう。

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　Series63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、Series63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Series63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。

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、Series63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Series63試験資料を選択することは、Series63試験にうまく合格するのに重要です。高い正確率があるSeries63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Series63試験学習資料を練習し、Series63試験に簡単でパスします。

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

1. 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 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.
C) 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.
D) 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.

2. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) Uniform Securities Act (USA.)
B) Gramm-Leach-Bliley Act of 1999 (GLBA.)
C) National Securities Markets Improvement Act of 1996 (NSMIA.)
D) National Conference of Commissioners on Uniform State Laws (NCCUSL.)

3. Which of the following is an example of commingling?

A) All of the above are examples of commingling.
B) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
C) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's accounts and has the trade confirmations sent to a P.O box she owns.
D) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for which Mr. Hawk works.

4. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative.
Is this a violation of any securities laws?

A) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
B) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
C) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
D) No. The firm's phones are manned 24/7, so it hasn't lied.

5. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
B) a $500,000 promissory note that matures in two years
C) a $25,000 promissory note that matures in three months
D) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors

質問と回答：