Series63試験学習資料の三つバージョンの便利性

私たちの候補者はほとんどがオフィスワーカーです。あなたはUniform Securities Agent State Law Examination試験の準備にあまり時間がかからないことを理解しています。したがって、異なるバージョンのSeries63試験トピック問題をあなたに提供します。読んで簡単に印刷するには、PDFバージョンを選択して、メモを取るのは簡単です。 もしあなたがUniform Securities Agent State Law Examinationの真のテスト環境に慣れるには、ソフト（PCテストエンジン）バージョンが最適です。そして最後のバージョン、Series63テストオンラインエンジンはどの電子機器でも使用でき、ほとんどの機能はソフトバージョンと同じです。Uniform Securities Agent State Law Examination試験勉強練習の3つのバージョンの柔軟性と機動性により、いつでもどこでも候補者が学習できます。私たちの候補者にとって選択は自由でそれは時間のロースを減少します。

信頼できるアフターサービス

私たちのSeries63試験学習資料で試験準備は簡単ですが、使用中に問題が発生する可能性があります。Series63 pdf版問題集に関する問題がある場合は、私たちに電子メールを送って、私たちの助けを求めることができます。たあなたが新旧の顧客であっても、私たちはできるだけ早くお客様のお手伝いをさせて頂きます。候補者がUniform Securities Agent State Law Examination試験に合格する手助けをしている私たちのコミットメントは、当業界において大きな名声を獲得しています。一週24時間のサービスは弊社の態度を示しています。私たちは候補者の利益を考慮し、我々のSeries63有用テスト参考書はあなたのSeries63試験合格に最良の方法であることを保証します。

要するに、プロのSeries63試験認定はあなた自身を計る最も効率的な方法であり、企業は教育の背景だけでなく、あなたの職業スキルによって従業員を採用することを指摘すると思います。世界中の技術革新によって、あなたをより強くする重要な方法はUniform Securities Agent State Law Examination試験認定を受けることです。だから、私たちの信頼できる高品質のUniform Securities State Law有効練習問題集を選ぶと、Series63試験に合格し、より明るい未来を受け入れるのを助けます。

現代IT業界の急速な発展、より多くの労働者、卒業生やIT専攻の他の人々は、昇進や高給などのチャンスを増やすために、プロのSeries63試験認定を受ける必要があります。 試験に合格させる高品質のUniform Securities Agent State Law Examination試験模擬pdf版があなたにとって最良の選択です。私たちのUniform Securities Agent State Law Examinationテストトピック試験では、あなたは簡単にSeries63試験に合格し、私たちのUniform Securities Agent State Law Examination試験資料から多くのメリットを享受します。

本当質問と回答の練習モード

現代技術のおかげで、オンラインで学ぶことで人々はより広い範囲の知識（Series63有効な練習問題集）を知られるように、人々は電子機器の利便性に慣れてきました。このため、私たちはあなたの記憶能力を効果的かつ適切に高めるという目標をどのように達成するかに焦点を当てます。したがって、Uniform Securities State Law　Series63練習問題と答えが最も効果的です。あなたはこのUniform Securities Agent State Law Examination有用な試験参考書でコア知識を覚えていて、練習中にUniform Securities Agent State Law Examination試験の内容も熟知されます。これは時間を節約し、効率的です。

デモをダウンロードする

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

1. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate in the primary market.
B) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate licensing requirements for agents.
C) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy and sell bonds and option contracts.
D) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he does not own in return for a commission on the transactions he executes. A broker-dealer may also buy and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on those securities.

2. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
B) The client agrees to pay the investment adviser an hourly fee of $60.00.
C) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
D) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.

3. A "notice filing" refers to

A) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
B) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
C) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.
D) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.

4. An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?

A) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
B) No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
C) Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."
D) No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."

5. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) II and IV only
B) All of the entities are subject to post-registration provisions.
C) I and III only
D) I and II only

質問と回答：