369 お客様のコメント
Series63の迅速なアップデート対応
Series63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 Series63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。
JPNTestでFINRA Series63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。 Series63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Series63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。
Series63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、Uniform Securities State Lawの251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 Series63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。
Series63試験の品質と価値
JPNTestのUniform Securities State Law Series63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。
あなたのSeries63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Uniform Securities State Law Series63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Series63テストエンジン
Uniform Securities State Lawの基礎準備資料問題集には、Uniform Securities State Law Series63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Uniform Securities State Law によって研究と構成されています。
FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:
1. Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?
A) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
B) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
C) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
D) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
2. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?
A) An investment adviser keeps a client's securities in its safety deposit box.
B) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
C) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
3. Constance is an investment adviser representative. She told one of her clients that he should put at least 15% 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) 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.
D) 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.
4. The state official who has regulatory authority over the securities industry within the state is known as the
A) investor-protection officer.
B) secretary of state.
C) attorney-general.
D) administrator.
5. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification
A) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
B) Method II only
C) Method I only
D) Methods I and III only
質問と回答：
| 質問 # 1 正解： A | 質問 # 2 正解： C | 質問 # 3 正解： A | 質問 # 4 正解： D | 質問 # 5 正解： D |
0
0
0
0
