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三つのバージョン
我々会社のUniform Securities Agent State Law Examination試験勉強資料は3種類のバージョンがあります。第一種はPDF版で、お客様は印刷してから、紙質の形式で勉強し、メモをできます。第二種はUniform Securities Agent State Law Examination ソフト版で、真実の試験環境を模擬し作成されて、試験の雰囲気と流れを体験させることができます。第三種はオンライン版で、お客様はスマートとIPADなどの電子設備の上に使用されます。便利持ちなので、どこでもいつでも学習できます。
お客様は初心者としても、弊社Uniform Securities Agent State Law Examination試験問題集の勉強方法やトレーニングガイドはあなたに適用され、Uniform Securities Agent State Law Examination認定試験に合格するのを助けます。
もしお客様は我々のUniform Securities Agent State Law Examination試験問題集を購入すれば、ただほぼ20時間がかかるだけで、試験のレベルに達成することができます。それで、お客様の暇の短い時間をもって、我々のUniform Securities Agent State Law Examination試験学習資料を勉強してから試験に参加できます。
我々のUniform Securities Agent State Law Examination試験問題集は過去の試験データによって、すべてのエラーの問題が完全に削除し、改善します。それで、我々の問題集の正確性を高めます。20～30時間の学習で相応の効果を発揮することができ、効率的に試験に通過します。
全額返済保証
当社Series63試験問題集をもって、簡単に試験に合格するのを助けますが、我々のSeries63試験勉強資料を使用して合格しなかった場合に、あなたに全額返金することを約束します。私たちの唯一の目的は、あなたが簡単に試験に合格させるふことです。
FINRA Series63 試験シラバストピック:
| セクション | 目標 |
|---|---|
| トピック 1: 行政規定および執行 | - 記録保持および報告要件 - 州の執行権限と罰則 |
| トピック 2: 倫理的慣行と受託者責任 | - 禁止行為と詐欺防止 - 開示義務と顧客保護 |
| トピック 3: 投資顧問業者および代理人の規制 | - ブローカー・ディーラーの規制と監督 - 代理人の登録要件 |
| トピック 4: 州証券法および規制 | - 統一証券法 (USA) の枠組み - 証券の登録と免除 |
FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題：
You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay
- A. the full annual fee, and your license will expire on December 31st this year.
- B. the full annual fee, and your license will expire on December 31st next year.
- C. the full annual fee, and your license will expire on September 30th next year.
- D. one-fourth of the annual fee required since only one quarter of the year remains.
正解：A 🗳️
解説: (ShikenPASS メンバーにのみ表示されます)
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 bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
- B. all state general obligation bonds are also guaranteed by the federal government.
- C. all of the above statements are true.
- D. the interest income the investor receives from the bond will be free from federal taxation.
正解：D 🗳️
解説: (ShikenPASS メンバーにのみ表示されます)
Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it started to fall during the day and credited the client's account with $131 per share when stock dropped further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of the shares for its own portfolio and sells the remainder to the public.
- A. I only
- B. I and III only
- C. I and II only
- D. I, II, and III
正解：D 🗳️
解説: (ShikenPASS メンバーにのみ表示されます)
Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,
- A. Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
- B. Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
- C. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.
- D. Needy is in violation of securities laws by acting as an issuer of securities.
正解：D 🗳️
解説: (ShikenPASS メンバーにのみ表示されます)
Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?
- A. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
- B. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.
- C. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
- D. Yes. Ken is guilty of the prohibited practice of "tailgating."
正解：C 🗳️
解説: (ShikenPASS メンバーにのみ表示されます)
Thiara
