弊社のSeries63問題集のメリット

Fast2testの人気FINRA認定試験問題集は的中率が高くて、１００％試験に合格できるように作成されたものです。Fast2testの問題集は弊社FINRA専門家が長年の経験を活かして最新のシラバスに従って研究し出した学習教材です。

Fast2testは効率が良い受験法を教えてさしあげます。弊社のSeries63問題集は精確に実際試験の範囲を絞ります。弊社のSeries63問題集を利用すると、試験の準備をするときに時間をたくさん節約することができます。弊社の問題集によって、あなたは試験に関連する専門知識をよく習得し、自分の能力を高めることができます。それだけでなく、弊社のSeries63問題集はあなたがSeries63認定試験に一発合格できることを保証いたします。

行き届いたサービス、お客様の立場からの思いやり、高品質の学習教材を提供するのは弊社の目標です。 お客様がご購入の前に、無料で弊社のSeries63試験「Uniform Securities Agent State Law Examination」のサンプルをダウンロードして試用することができます。PDF版とソフト版の両方がありますから、あなたに最大の便利を捧げます。それに、Series63試験問題は最新の試験情報に基づいて定期的にアップデートされています。

デモをダウンロードする

一年間無料で問題集をアップデートするサービスを提供します。

弊社の商品をご購入になったことがあるお客様に一年間の無料更新サービスを提供いたします。弊社は毎日問題集が更新されたかどうかを確認しますから、もし更新されたら、弊社は直ちに最新版のSeries63問題集をお客様のメールアドレスに送信いたします。ですから、試験に関連する情報が変わったら、あなたがすぐに知ることができます。弊社はお客様がいつでも最新版のFINRA Series63学習教材を持っていることを保証します。

弊社は無料でUniform Securities State Law試験のDEMOを提供します。

Fast2testの試験問題集はPDF版とソフト版があります。PDF版のSeries63問題集は印刷されることができ、ソフト版のSeries63問題集はどのパソコンでも使われることもできます。両方の問題集のデモを無料で提供し、ご購入の前に問題集をよく理解することができます。

弊社のUniform Securities State Law問題集を利用すれば必ず試験に合格できます。

Fast2testのFINRA Series63問題集はFINRA認定試験に関連する豊富な経験を持っている弊社の専門家によって研究された最新バージョンの試験参考書です。FINRA Series63問題集は最新のFINRA Series63試験内容を含んでいてヒット率がとても高いです。Fast2testのFINRA Series63問題集を真剣に勉強する限り、簡単に試験に合格することができます。弊社の問題集は１００％の合格率を持っています。これは数え切れない受験者の皆さんに証明されたことです。１００％一発合格！失敗一回なら、全額返金を約束します！

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

1. 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) 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.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
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) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.

2. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

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

3. If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?

A) five years
B) seven years
C) one year
D) two years

4. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for a promissory note on the internet, filled in the requisite information specific to the agreement he and the investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2% on the loan and to repay the principal amount at the end of 18 months. A few months after the arrangement, Iggy read an article in a small business publication that indicated that promissory notes had to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a financial institution, prior to being offered for sale. The article indicated that a seller who had sold an unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the security back, with interest. Iggy turned to the computer once again, found a form that could be used for a formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue for damages in civil court.
B) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6 months, Iggy is off the hook.
C) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
D) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor within 30 days.

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

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