あなたのSeries_63試験合格を100%保証

JPNTestテスト問題集を初めて使用したときにFINRA Certification Series_63試験（Uniform Securities Agent State Law Examination）に合格されなかった場合は、購入料金を全額ご返金いたします。

ダウンロード可能なインタラクティブSeries_63テストエンジン

FINRA Certificationの基礎準備資料問題集には、FINRA Certification Series_63試験を受けるために必要なすべての材料が含まれています。詳細は、正確で論理的なものを作成するために業界の経験を常に使用しているFINRA Certification によって研究と構成されています。

Series_63の迅速なアップデート対応

Series_63試験に変更がございました場合は、現在の試験と一致するよう、瞬時に学習資料を更新することができます。弊社は、お客様に最高、最新のFINRA Series_63問題集を提供することに専念しています。なお、ご購入いただいた製品は365日間無料でアップデートされます。

Series_63試験の品質と価値

JPNTestのFINRA Certification Series_63模擬試験問題集は、認定された対象分野の専門家と公開された作成者のみを使用して、最高の技術精度標準に沿って作成されています。

JPNTestでFINRA Series_63問題集をチョイスする理由

JPNTestは、1週間で完璧に認定試験を準備することができる、忙しい受験者に最適な問題集を提供しております。 Series_63の問題集は、FINRAの専門家チームがベンダーの推奨する授業要綱を深く分析して作成されました。弊社のSeries_63学習材料を一回のみ使用するだけで、FINRA認証試験に合格することができます。

Series_63はFINRAの重要な認証であり、あなたの専門スキルを試す認定でもあります。受験者は、試験を通じて自分の能力を証明したいと考えています。 JPNTest Uniform Securities Agent State Law Examination は、FINRA Certificationの255の問題と回答を収集して作成しました。Uniform Securities Agent State Law Examinationの知識ポイントをカバーし、候補者の能力を強化するように設計されています。 JPNTest Series_63受験問題集を使用すると、Uniform Securities Agent State Law Examinationに簡単に合格し、FINRA認定を取得して、FINRAとしてのキャリアをさらに歩むことができます。

デモをダウンロードする

FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:

1. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

A) I or III only
B) I only
C) I or II only
D) I, II or III

2. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a corporation
B) a school district
C) a law firm that is organized as a partnership
D) a 16-year old cheerleader

3. Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
B) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
C) It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
D) Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.

4. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions only has to answer to the state in which the complaint was filed.
B) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
C) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
D) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.

5. Nat Smart was employed as an investment adviser representative and sold many of his clients on a
municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely
free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they
discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of
the bonds it held. Nat was as surprised as they were. Based on these facts, which of the following
statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

A) III only
B) II and III only
C) II only
D) I only

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