FINRA FINRA Certification Series_63

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弊社の商品を買ったことがあるお客様に一年間無料更新のサービスを提供致します、ですので、貴方が持ってる問題集はきっと最新版でございます。

FINRA Series_63 「Uniform Securities Agent State Law Examination」はFINRA資格認定の重要な試験集です。該当アイクオリサートロジックSeries_63模擬試験集は非常に理想的な試験に備えるツールと言えます。もし、Series_63模擬試験を御利用頂くと、以前の過去試験問題とほぼ同じの現行問題をご体験できます。全部の問題集は弊社の専業認証人員が念入りに編纂されたものです。ご受験者は高額教育活動にわざわざ参加する必要がなく、ただ20時間か30時間の気楽な一連の準備、勉強記憶及び模擬テストだけで、受験できます。100％一発合格！失敗一回なら、全額返金！

1、100％の本格的なSeries_63試験問題集は過去の試験問題及び最新模擬試験問題から作られたものです。
2、業界最先端のSeries_63模擬試験ｿﾌﾄは実際の試験雰囲気を模擬したものです。
3、Series_63試験科目は常時最新化され、最新の試験内容まで織込まれた精確性が有ります。
4、高価な講座を受ける必要はなく、20～30時間の独学だけで、一発合格が可能です！
5、Series_63 Exhibits、Drag & Drop、Simulationには実際に行われた試験の様式を全て含めております。
6、Series_63試験科目を一度お買い上げ頂ければ、一年間無料で問題集をアップデートするサービスが付きます。
7、毎日２４時間インタネット上でSeries_63技術サービス（無料）を提供致します。

IT-PassportsのFINRA Certification問題集を使って100％合格することが保証できます。

弊社は一発合格することを保証し、もし弊社の問題集Series_63 「Uniform Securities Agent State Law Examination」を使ってから、試験を通っていなかったら、弊社は全額を返金します。 弊社は一年以内に無料更新版を提供し、一発合格することを保証できます。

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

1. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?

A) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.
B) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
C) Both A and B are true.
D) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.

2. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

3. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
C) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.

4. In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return
over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal
over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is
because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund
to continue earning a return higher than the S&P 500 Index. Is YourMoney guilty of any security
violations?

A) No. YourMoney properly revealed to prospective investors the fact that its higher than average returns
are the result of its investment in riskier securities.
B) Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning
a return higher than the S&P 500 Index." Past performance is no indication of future performance.
C) Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten
years. The fund is obviously misstating its returns.
D) No. Regulations require only that the mutual fund provide charts and tables of its average annual
returns, with a statement comparing the fund performance with a relevant market index.YourMoney has
done this and more.

5. Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?

A) the state administrator
B) SEC
C) FINRA
D) NASAA

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