Series_63 : Uniform Securities Agent State Law Examination

購入後の一年間無料アップデート

あなたが我々のXhs1991 Series_63試験資材を購入したあと、我々は1年間の無料更新を提供します。 我々は、毎日、試験資材の更新をチェックします。資材は更新されると、私たちは自動的に無料であなたのメールボックスに最新バージョンを送信します。

現代の社会には、FINRA Series_63証明書は、あなたの未来の仕事、あなたのプロモーション、および給料増加への重要なインパクトを持っています。また、それはあなたのキャリアにおいてたくさんの違いを生じさせるかもしれません。

ここでは、Xhs1991 Series_63試験資料は、あなたのFINRA Series_63証明試験を通過することおよびFINRA認定証明書を得ることを手助けします。我々の試験資材は、技術的な正確さで最も高い標準に書かれます。そして、Series_63の試験質問と回答は、経験豊かな専門家によって編集されて、ヒット率の99.9%を持ちます。もしあなたが、FINRA Series_63試験の準備をするのに良いアイデアを全然持っていないならば、Xhs1991はあなたの最もよい選択です。

短時間で試験知識を読み取り

私達のSeries_63の試験質問と回答は最も正確で、すべての知識ポイントをほとんど含んでいます。我々の試験資材の助けを借りて、他の高価なトレーニング・コースに出席する必要がなく、ただSeries_63試験の質問と回答を把握するために20〜30時間を取るだけです。

正確の質問解答と高い通過率

Xhs1991のSeries_63勉強資料は本当の質問と正確の解答があって、試験のキーポイントを捉えます。受験者たちは使用してからSeries_63試験に高いポイントを得られます。Xhs1991 Series_63勉強資料は販売して以来、高い通過率で業界に多くの人から愛顧されます。

FINRA Series_63試験問題集をすぐにダウンロード：成功に支払ってから、我々のシステムは自動的にメールであなたの購入した商品をあなたのメールアドレスにお送りいたします。（12時間以内で届かないなら、我々を連絡してください。Note：ゴミ箱の検査を忘れないでください。）

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

1. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Both B and C are true statements.
B) No. It is unethical for him to trade based on this information before the firm's clients have received the
information.
C) Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
D) No. This is a prohibited activity referred to as "painting the tape."

2. Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license
of a person?

A) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning,
according to written client complaints.
B) The applicant has never before worked in the securities industry although he has received the requisite
training.
C) Some of the information supplied on the registration application was found to be false.
D) The person has been convicted of check kiting within the past ten years.

3. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend
date, so that the client will receive the dividends when they are distributed. In which of the following
situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security
check.

A) III only
B) I and II only
C) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund
prior to its ex-dividend date.
D) I only

4. While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called
SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar
mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his
home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he
learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer,
discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast
Eddie nor his broker-dealer are registered to do business in either of those states. Under these
circumstances,

A) Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker
are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in
the state of Massachusetts.
B) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is a private placement.
C) Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and
negotiate a finder's fee for referring Mr. Moneybags to them.
D) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is an unsolicited transaction.

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a margin agreement if the purchase is being made on margin
B) a hypothecation agreement
C) a preliminary prospectus
D) a final prospectus

質問と回答：