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. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) you can simply find another broker-dealer to hire you and have your license transferred to him.
B) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
D) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.

2. 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) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
B) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
C) No. Carrie is just donating some of her commissions back to the church, and transactions with
D) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

3. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an
agent selling this bond, you can legitimately tell the investor that

A) the interest income the investor receives from the bond will be free from federal taxation.
B) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
C) all state general obligation bonds are also guaranteed by the federal government.
D) all of the above statements are true.

4. Which of the following securities would be exempt from state registration requirements, according to the
Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) All of the selections would be exempt from state registration requirements under the Uniform
B) Selection I and III only
C) Selection III only
D) Selection I only

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 broker?

A) GetErDone Broker-Dealers
B) HiGrowth Corporation
C) BigFee Investment Bankers
D) Mr. Bigwig

質問と回答：

質問 # 1 正解： D

質問 # 2 正解： D

質問 # 3 正解： A

質問 # 4 正解： B

質問 # 5 正解： A