あなたはこの重要な試験を準備するのは時間とお金がかかると聞いたことがあるかもしれませんが、それは我々提供するFINRAのSeries_63試験勉強攻略ソフトを利用しなかったからです。複雑な整理と分析の過程はもう我々に完了されました。あなたは高効率の復習とFINRAのSeries_63試験勉強攻略試験の成功を経験する必要があればいいです。 NewValidDumpsは優れたIT情報のソースを提供するサイトです。NewValidDumpsで、あなたの試験のためのテクニックと勉強資料を見つけることができます。 FINRAのSeries_63試験勉強攻略試験に合格するのは説得力を持っています。

FINRA Certification Series_63 そうだったら、下記のものを読んでください。

弊社NewValidDumpsのSeries_63 - Uniform Securities Agent State Law Examination試験勉強攻略試験問題集を介して、速く試験に合格してSeries_63 - Uniform Securities Agent State Law Examination試験勉強攻略試験資格認定書を受け入れる一方で、他の人が知らない知識を勉強して優れる人になることに近くなります。 NewValidDumpsは君にとってベストな選択になります。ここには、私たちは君の需要に応じます。

弊社のFINRA　Series_63試験勉強攻略問題集を使用した後、Series_63試験勉強攻略試験に合格するのはあまりに難しくないことだと知られます。我々NewValidDumps提供するSeries_63試験勉強攻略問題集を通して、試験に迅速的にパースする技をファンドできます。あなたのご遠慮なく購買するために、弊社は提供する無料のFINRA　Series_63試験勉強攻略問題集デーモをダウンロードします。

FINRA Series_63試験勉強攻略 - 我々の誠意を信じてください。

現在の社会で、Series_63試験勉強攻略試験に参加する人がますます多くなる傾向があります。市場の巨大な練習材料からSeries_63試験勉強攻略の学習教材を手に入れようとする人も増えています。 私たちのSeries_63試験勉強攻略試験問題を利用し、ほかの資料が克服できない障害を克服できます。 多くの受験者は、私たちのSeries_63試験勉強攻略練習試験をすることに特権を感じています。 そして、私たちのウェブサイトは、市場でのとても有名で、インターネット上で簡単に見つけられます。

自分のIT業界での発展を希望したら、FINRAのSeries_63試験勉強攻略試験に合格する必要があります。FINRAのSeries_63試験勉強攻略試験はいくつ難しくても文句を言わないで、我々NewValidDumpsの提供する資料を通して、あなたはFINRAのSeries_63試験勉強攻略試験に合格することができます。

Series_63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 3
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: 4
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: 5
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.

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Updated: May 26, 2022