安全購入プロセス

弊社のSeries63テスト連続は10年以上のビジネス経験の中で、お客様の購入権をひたすら重要視していますので、電子製品を購入する際にウイルスについて心配する必要はありません。 Series63試験準備の信頼性を長年にわたり評価され、保証された購入方法を提案するために限りなく努力を重ねるため、絶対的に安全な環境を構築しており、Series63試験問題にウイルスの攻撃されることはありません。 それについて疑いがある場合は、専門の担当者が最初にこれを処理します。また、Series63テストｓ問題セットをインストールして使用するために、リモートでオンラインで指導を受けることもできます。

提供された3つのバージョン

お客様にはさまざまなニーズを持っていることを考慮し、弊社は利用可能なSeries63テスト問題セットを3つのバージョンで提供いたします--- PDF版、PCテストエンジン版とオンラインテストエンジン版。 最も有利なのが唯一サンプルを持つ--- Q&A形式のPDF版を無料でダウンロードできます。 こちらのバージョンはSeries63試験準備に印刷可能で、ダウンロードすることが簡単にできます。つまり、いつでもどこでも勉強することができます。 PC版のSeries63試験問題は実際の試験環境でリアル体験ができ、MSオペレーティングシステムをサポートします。これは試験のために勉強するためのより実用的な方法です。 さらに、Series63試験対策のオンラインテストエンジンは、ほとんどのユーザーがスマホ、タブレットでAPPを学習操作することに慣れているため、ほとんどの受験者の間で高い期待を寄せているようです。 それぞれのバージョンが同じ内容であることを保証します。お客様は自分が便利だと思うバージョンをお選びください。

すべての受験者にとって試験を簡単にするために、Series63試験対策ではテスト履歴の成績を確認することができます。その後、バツを見つけてそれを克服することができます。 さらに、この問題集のSeries63試験問題をオンラインで一度利用した後は、次回オフライン環境で練習することもできます。 Series63テスト問題セットは、ユーザーが選択するためのさまざまな学習モードを提供いたします。これは、パソコンやスマホの複数登録ができてオンラインで勉強したり、オフラインで複数印刷するために使用できます。 値段がより安いため、より多くの選択肢が用意されています。試験のためにSeries63試験問題を選択するのがオススメです。

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

1. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is in violation of securities laws. Arbitrage is a prohibited activity.
B) engaged in a fraudulent activity.
C) is skilled if he is able to earn profits 95% of the time using this strategy.
D) is trading on insider information, which is a violation of securities laws.

2. 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 can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is a private placement.
B) 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.
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.

3. Although an Administrator has broad powers, he or she cannot:

A) gather evidence.
B) deliver a judicial injunction.
C) issue subpoenas involving compulsory attendance.
D) formulate rules and orders.

4. n No: 85
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 person has been convicted of check kiting within the past ten years.
C) Some of the information supplied on the registration application was found to be false.
D) The applicant has never before worked in the securities industry although he has received the requisite training.

5. No: 192
The maximum monetary civil liability that a person who has violated a securities law can be expected to pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.

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