FINRAの認証資格は最近ますます人気になっていますね。国際的に認可された資格として、FINRAの認定試験を受ける人も多くなっています。その中で、Series_63専門知識訓練認定試験は最も重要な一つです。 我々の問題集は最新版で全面的なのです。だからこそ、ITについての仕事に就職している多くの人は弊社のソフトを通してFINRAのSeries_63専門知識訓練試験に合格しました。 早速買いに行きましょう。

FINRA Certification Series_63 成功を祈ります。

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FINRA Series_63専門知識訓練 - 私の夢は最高のIT専門家になることです。

IT業種のFINRAのSeries_63専門知識訓練認定試験に合格したいのなら、NewValidDumps FINRAのSeries_63専門知識訓練試験トレーニング問題集を選ぶのは必要なことです。FINRAのSeries_63専門知識訓練認定試験に受かったら、あなたの仕事はより良い保証を得て、将来のキャリアで、少なくともIT領域であなたの技能と知識は国際的に認知され、受け入れられるです。これも多くの人々がFINRAのSeries_63専門知識訓練認定試験を選ぶ理由の一つです。その理由でこの試験はますます重視されるになります。NewValidDumps FINRAのSeries_63専門知識訓練試験トレーニング資料はあなたが上記の念願を実現することを助けられるのです。NewValidDumps FINRAのSeries_63専門知識訓練試験トレーニング資料は豊富な経験を持っているIT専門家が研究したもので、問題と解答が緊密に結んでいますから、比べるものがないです。高い価格のトレーニング授業を受けることはなくて、NewValidDumps FINRAのSeries_63専門知識訓練試験トレーニング資料をショッピングカートに入れる限り、我々はあなたが気楽に試験に合格することを助けられます。

IT業種で仕事しているあなたは、夢を達成するためにどんな方法を利用するつもりですか。実際には、IT認定試験を受験して認証資格を取るのは一つの良い方法です。

Series_63 PDF DEMO:

QUESTION NO: 1
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.

QUESTION NO: 2
Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment
Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is the issuer?
A. HiGrowth Corporation
B. Mr. Bigwig
C. BigFee Investment Bankers
D. GetErDone Broker-Dealers
Answer: A
Explanation: HiGrowth Corporation is the issuer in this instance. Its stock will be sold, and HiGrowth will
receive the proceeds from the sale-less BigFee's underwriting spread. Mr. Bigwig is merely
HiGrowth's
representative in this instance.

QUESTION NO: 3
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: 4
Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?
A. Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
B. Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going market rates, stated in the agreement as well as a firm date for principal repayment.
C. No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.
D. Both A and B are true.
Answer: C
Explanation: No, Joe cannot take his client's offer of a loan because it could lead to a conflict of interest--if
not today, perhaps in the future--and as a fiduciary Joe will be expected to put this client's welfare ahead
of his own. If it takes him a lot longer than expected to get on his feet again, he may be tempted to act in
his own best interest.

QUESTION NO: 5
Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's executives. Are Shady's executives planning to do anything illegal?
A. No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
B. Yes. To purchase shares of their own company is considered to be illegal insider trading.
C. No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.
D. Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in order to try to manipulate the price of the stock.
Answer: D
Explanation: Yes. Although it is not illegal for Shady's executives to purchase shares of their firm's stock,
in this case they are planning to do something illegal in deciding to make significantly large purchases of
their firm's stock in order to manipulate the price. This is an example of price pegging.

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Updated: May 26, 2022