FINRA Series63

高い試験通過率

お支払い後、お買い上げのSeries63勉強資料をすぐにダウンロードできて、トレーニング資料の勉強と練習をできます。２０～３０時間で勉強資料を練習すれば、９８％～１００％の合格率を保証します。Series63試験に落ちる方は試験通知書で全額を返却できます、或いは他のSeries63勉強資料に変えって再勉強します。社会人になってから、受験勉強のために多く時間を割くことがなかなかできない受験者たちには最適です。心配するお客様には、わが社はSeries63試験勉強資料デモを用意してます。お買い上げる前に試してください。

一年間の無料アップデート

受験問題には変化がありますので、わが社の試験勉強資料もその変化に伴って常にSeries63勉強資料を更新し、購入日から一年間に更新された勉強資料をお客様に無料提供します。受験で頭を困らせた人はそんな状態から抜け出したいなら、わが社のSeries63試験勉強資料こそあなたの助けになります。

FINRA Series63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。）

最近、より多くの人たちがSeries63資格を取得したい。認定試験によって、自分の能力を高め、職場で良いポジションを求められます。TopexamのSeries63試験勉強資料はあなたが成功へのショートカットを与えます。

Series63資格認定を取得するには苦戦しているあなたによいニュースを持ち込みました。わが社のSeries63勉強資料を使っていただければ、認定を取るのはもうそんなに難ししことではありません。認定取得により理想な仕事、希望なポジション、満足な給料がもらえます。自分の未来は自分で舵を取ります。

三つのバージョン

わが社のSeries63勉強資料は三つのバージョンがあります。ＰＤＦ版は印刷できます、印刷してから用紙にメモを取ることができて、とても便利です。ソフト版はいくつかのパソコンにインストールすることができます。本当の試験環境をシミュレーションします。前提としてWindowsシステムにしか使いません。オンライン版は設備に問われず、携帯とかパソコンとカなどの電子設備で使えます。オフライン使用をサポートします。

FINRA Series63 試験シラバストピック:

FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題：

問題 #1

The state official who has regulatory authority over the securities industry within the state is known as the

A. secretary of state.
B. attorney-general.
C. administrator.
D. investor-protection officer.

問題 #2

Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?

A. Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.
B. Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
C. Fly-By-Night is required to shred all documentation of client transactions and communications.
D. Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.

問題 #3

Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?

A. The act extended across state lines.
B. The perpetrator willfully committed the fraudulent act.
C. The victim(s) lost a combined total of at least $25,000 because of the act.
D. The Administrator decides to send the case to criminal court.

問題 #4

In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P 500 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P 500 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced the client for the bonus.
Has MoeMoney violated any securities laws?

A. Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package according to the Uniform Securities Act.
B. Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio it manages loses money.
C. Yes. An investment adviser's compensation cannot be based on the capital appreciation of the portfolio.
D. No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its agreement with YourMoney.

問題 #5

Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A. No. The provisions of the Uniform Securities Act relate to securities, not people.
B. No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.
C. No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
D. Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.

解説：