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FINRA Certification Series_63 私の夢は最高のIT専門家になることです。

短時間で一度に本当の認定試験に高いポイントを取得したいなら、我々NewValidDumpsのFINRA　Series_63 - Uniform Securities Agent State Law Examination資料勉強日本語対策問題集は絶対にあなたへの最善なオプションです。 最近、FINRAのSeries_63 オンライン試験試験は非常に人気のある認定試験です。あなたもこの試験の認定資格を取得したいのですか。

そうすれば、わかりやすく、覚えやすいです。弊社の Series_63資料勉強参考資料は実践に基づいて、専門的な知識の蓄積です。だから、Series_63資料勉強試験のために、弊社の商品を選ばれば、後悔することがないです。

FINRA Series_63資料勉強 - NewValidDumpsを選られば、成功しましょう。

NewValidDumpsのFINRAのSeries_63資料勉強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す。君がFINRAのSeries_63資料勉強問題集を購入したら、私たちは一年間で無料更新サービスを提供することができます。もしFINRAのSeries_63資料勉強問題集は問題があれば、或いは試験に不合格になる場合は、全額返金することを保証いたします。

君はまずネットで無料な部分のFINRA認証試験をダウンロードして現場の試験の雰囲気を感じて試験に上手になりますよ。FINRAのSeries_63資料勉強認証試験に失敗したら弊社は全額で返金するのを保証いたします。

Series_63 PDF DEMO:

QUESTION NO: 1
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: 2
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: 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.

APM APM-PFQ - すべてのことの目的はあなたに安心に試験に準備さされるということです。 SAP C_S4CPR_2402 - 合格書を持ち方が持たない人により高い給料をもうけられます。 我々のFINRAのCisco 350-401ソフトを利用してお客様の高通過率及び我々の技術の高いチームで、我々は自信を持って我々NewValidDumpsは専門的なのだと言えます。 Fortinet NSE7_SDW-7.2 - 模擬テスト問題集と真実の試験問題がよく似ています。 CheckPoint 156-315.81.20 - すべては豊富な内容があって各自のメリットを持っています。

Updated: May 26, 2022