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日本語受験攻略認定試験対策模擬テスト問題集が研究しました。模擬テスト問題集と真実の試験問題がよく似ています。一目でわかる最新の出題傾向でわかりやすい解説と充実の補充問題があります。 FINRAのSeries_63日本語受験攻略試験に合格しがたいですが、我々NewValidDumpsの提供するFINRAのSeries_63日本語受験攻略試験の資料を通して多くの人は試験に合格しました。あなたはその中の一員になりたいですか。 あなたに向いていることを確かめてから買うのも遅くないですよ。

それはNewValidDumpsのSeries_63日本語受験攻略問題集です。

もしあなたはまだ合格のためにFINRA Series_63 - Uniform Securities Agent State Law Examination日本語受験攻略に大量の貴重な時間とエネルギーをかかって一生懸命準備し、FINRA Series_63 - Uniform Securities Agent State Law Examination日本語受験攻略「Uniform Securities Agent State Law Examination」認証試験に合格するの近道が分からなくって、今はNewValidDumpsが有効なFINRA Series_63 - Uniform Securities Agent State Law Examination日本語受験攻略認定試験の合格の方法を提供して、君は半分の労力で倍の成果を取るの与えています。 一回だけでFINRAのSeries_63 全真模擬試験試験に合格したい？NewValidDumpsは君の欲求を満たすために存在するのです。NewValidDumpsは君にとってベストな選択になります。

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FINRA Series_63日本語受験攻略 - それも受験生たちが実践を通して証明したことです。

現在IT技術会社に通勤しているあなたは、FINRAのSeries_63日本語受験攻略試験認定を取得しましたか？Series_63日本語受験攻略試験認定は給料の増加とジョブのプロモーションに役立ちます。短時間でSeries_63日本語受験攻略試験に一発合格したいなら、我々社のFINRAのSeries_63日本語受験攻略資料を参考しましょう。また、Series_63日本語受験攻略問題集に疑問があると、メールで問い合わせてください。

我々はFINRAのSeries_63日本語受験攻略試験問題と解答また試験シミュレータを最初に提供し始めたとき、私達が評判を取ることを夢にも思わなかった。我々が今行っている保証は私たちが信じられないほどのフォームです。

Series_63 PDF DEMO:

QUESTION NO: 1
To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
A. I, II, and III
B. I and II only
C. II and III only
D. II only
Answer: D
Explanation: To say a security is "exempt" means only that the security is exempt from state registration
requirements. It is not exempt from the state's anti-fraud laws and may or may not be part of an exempt
transaction. That is defined by the transaction.

QUESTION NO: 2
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?
A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the American Stock Exchange
C. a stock that is listed on the OTC Bulletin Board
D. a put option on a stock that sells in the over-the-counter market
Answer: C
Explanation: A stock that is listed on the OTC Bulletin Board would not be exempt from state registration
unless it already happens to be registered under the Uniform Securities Act. Variable annuities and stocks
listed on the American Stock Exchange are classified as federal covered securities by the NSMIA of
1996
and are exempt from state registration. An amendment to the Securities and Exchange Act of 1934 exempts option contracts from state registration.

QUESTION NO: 3
Which of the following is an example of commingling?
A. 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.
B. 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.
C. Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
D. All of the above are examples of commingling.
Answer: A
Explanation: When Sly has his client pay for a stock purchase by making the check out to Sly himself, he
has engaged in the prohibited practice of commingling. Ms. Fox is also engaged in a prohibited practice,
but she is engaged in making unauthorized transactions. Mr. Hawk is doing nothing wrong. It is typical for
clients to leave securities on deposit with their broker-dealers in what is called "street name." This makes
it easier for the client to sell the securities later on since he physically will not have to deliver the securities
to the broker, for one thing.

QUESTION NO: 4
"T + 3" refers to
A. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
B. the form that is filled out and sent to the client confirming that the trade has been executed.
C. the fact that the settlement date will be three business days after the trade date, which is the
"regular
way settlement" for transactions involving stocks and corporate and municipal bonds.
D. a procedure to minimize the potential for money laundering.
Answer: C
Explanation: "T + 3" is an abbreviation indicating that the settlement date will be three business days after
the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and
municipal bonds.

QUESTION NO: 5
Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish. Is Carrie doing anything illegal?
A. No. Carrie is just donating some of her commissions back to the church, and transactions with
B. Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
C. It depends. As long as the church parishioners are aware of the arrangement between Carrie and
D. It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
Answer: B
Explanation: Yes. Carrie is violating NASAA's Model Rules in splitting her commissions with an entity that
is not a registered agent affiliated with her firm. It doesn't matter that the entity is a church, even if that
church is itself a client of the broker-dealer.

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Updated: May 26, 2022