どんな業界で自分に良い昇進機会があると希望する職人がとても多いと思って、IT業界にも例外ではありません。ITの専門者はFINRAのSeries_63入門知識認定試験があなたの願望を助けって実現できるのがよく分かります。NewValidDumpsはあなたの夢に実現させるサイトでございます。 試験に準備するときにはあまり多くの時間を無駄にすることを避けるように、NewValidDumpsは短時間の勉強をするだけで試験に合格することができるSeries_63入門知識問題集が用意されています。この問題集には実際の試験に出る可能性のあるすべての問題が含まれています。 NewValidDumpsの専門家チームが君の需要を満たすために自分の経験と知識を利用してFINRAのSeries_63入門知識認定試験対策模擬テスト問題集が研究しました。

Series_63入門知識認定試験のようなものはどうでしょうか。

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近年、IT領域で競争がますます激しくなります。IT認証は同業種の欠くことができないものになりました。あなたはキャリアで良い昇進のチャンスを持ちたいのなら、NewValidDumpsのFINRAのSeries_63入門知識「Uniform Securities Agent State Law Examination」試験トレーニング資料を利用してFINRAの認証の証明書を取ることは良い方法です。

FINRA Series_63入門知識 - その権威性は言うまでもありません。

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Series_63 PDF DEMO:

QUESTION NO: 1
Which of the following is not considered to be a security, as defined by the Uniform Securities
Act (USA)?
A. a debenture
B. a certificate of deposit (CD)
C. a put option
D. an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
Answer: D
Explanation: The Uniform Securities Act excludes annuity contracts wherein an insurance company promises either to pay a fixed sum, either in a lump amount or through periodic payments, from its definition of a security. Debentures, CDs, and option contracts are all classified as securities under the USA.

QUESTION NO: 2
A variable annuity is:
A. not a security and, therefore, does not have to be registered with the state.
B. not a security, but is still required to be registered with the state before it can be offered for sale.
C. a security and, therefore, has to be registered with the state before it can be offered for sale.
D. a security, but is exempt from state registration.
Answer: D
Explanation: A variable annuity is defined as a security, but is exempt from state registration in the opinion
of the North American Securities Administrators Association (NASAA.) The Supreme Court of the U.S.
passed a ruling that deemed a variable annuity to be a security. The National Securities Market
Improvement Act of 1996 (NSMIA) established variable annuities to be federal covered securities, however, since they are, for all intents and purposes, mutual funds. Federal covered securities are exempt from state registration.

QUESTION NO: 3
In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return
over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal
over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund
to continue earning a return higher than the S&P 500 Index. Is YourMoney guilty of any security violations?
A. No. YourMoney properly revealed to prospective investors the fact that its higher than average returns
are the result of its investment in riskier securities.
B. Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten
years. The fund is obviously misstating its returns.
C. Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning
a return higher than the S&P 500 Index." Past performance is no indication of future performance.
D. No. Regulations require only that the mutual fund provide charts and tables of its average annual returns, with a statement comparing the fund performance with a relevant market index.YourMoney has
done this and more.
Answer: C
Explanation: Yes. YourMoney is guilty of fraud in its claim that "an investor can expect the fund to continue earning a return higher than the S&P 500 Index." Past performance is no indication of futur e
performance, and this statement is clearly a misstatement of a material fact. In fact, because the securities the fund invests in are riskier than average, the fund returns can be expected to fall harder than
the S&P 500 Index in a market downturn.

QUESTION NO: 4
You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money."
You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should
A. ignore Mr. Crochety's instruction since it is not in his best interest.
B. require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
C. have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D. call Mr. Crochety's relatives and suggest they have him examined for mental instability.
Answer: C
Explanation: Given that you have advised Mr. Crochety that this is not a wise move and he still insists on it,
you should protect yourself by getting it in writing. In no case, however, can you require a client to sign an
affidavit of liability waver, nor can you refuse to follow his adamant instructions.

QUESTION NO: 5
Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr.
Lange is a(n)
A. broker-dealer.
B. agent.
C. investment adviser.
D. investment company.
Answer: C
Explanation: If Harry Lange is managing the investment portfolio of Fidelity Magellan Mutual Fund, he is
an investment adviser. He is making the investment decisions and receives a percentage of the assets under management as his compensation. He is not selling the mutual fund or the fund's investors anything, which is the job of a broker-dealer or an agent. Fidelity Magellan is the investment company.

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Updated: May 26, 2022