最新なFINRA Series63問題集（251題）、真実試験の問題を全部にカバー！

Name: Series63
Brand: Pass4Test
SKU: Series63
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Pass4Testは斬新なFINRA Uniform Securities State Law Series63問題集を提供し、それをダウンロードしてから、Series63試験をいつ受けても１００％に合格できる！一回に不合格すれば全額に返金！

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Series63 無料問題集
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質問 1：
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 and III only
B. I only
C. I and II only
D. I, II, and III
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 2：
A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of
A. five.
B. four.
C. There is no specified turnover ratio assigned to the prohibited practice of churning.
D. eight.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 3：
The settlement date refers to
A. the date the order to purchase or sell the security is sent to the market.
B. the date the buyer must pay for the securities purchased.
C. the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
D. the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
正解：B
解説: (Pass4Test メンバーにのみ表示されます)

質問 4：
Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?
A. Fly-By-Night is required to shred all documentation of client transactions and communications.
B. Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
C. 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.
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.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 5：
Which of the following would be considered an "issuer" transaction?
A. None of the above is an "issuer" transaction.
B. Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
C. Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
D. Kim sells an AT&T bond she holds that still has three years remaining to maturity.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 6：
Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100 billion dollars under management. A client has filed a complaint asserting that the firm has been involved in fraudulent activities. In this case,
A. Gazillions only has to answer to the state in which the complaint was filed.
B. Gazillions has to answer to both the SEC and the state in which the complaint was filed.
C. Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it has under management.
D. Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered investment adviser, it need not respond to any state-issued requests for information.
正解：B
解説: (Pass4Test メンバーにのみ表示されます)

質問 7：
Which of the following would meet the requirements for an "exempt security?"
A. commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
B. a $25,000 promissory note that matures in three months
C. a $500,000 promissory note that matures in two years
D. commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 8：
Which of the following persons is required to maintain its records in accordance with state dictates and meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser III. investment adviser representative
A. II and III only
B. I and II only
C. II only
D. I, II, and III
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

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。

Pass4TestのFINRA Series63問題集はIT認定試験に関連する豊富な経験を持っているIT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。Pass4Test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！

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

1. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 30 days.
B) one year.
C) 90 days.
D) 60 days.

2. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security income although he managed to accumulate an investment portfolio worth about $100,000 over the years. Mr.
Crochety recently got his hands on a business publication and read about the tax-free interest paid by municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) ignore Mr. Crochety's instruction since it is not in his best interest.
B) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
C) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D) call Mr. Crochety's relatives and suggest they have him examined for mental instability.

3. A variable annuity is:

A) a security, but is exempt from state registration.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) not a security, but is still required to be registered with the state before it can be offered for sale.
D) not a security and, therefore, does not have to be registered with the state.

4. You have recently discovered that a security you purchased has not been registered with the state, nor is it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) one year from discovery.
B) three years from discovery or five years from the event, whichever comes first.
C) two years from discovery or three years from the event, whichever comes first.
D) five years.

5. Which of the following funds can an agent indicate is "no load?"

A) Both A and C can be advertised as "no load" funds.
B) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.

質問と回答：

質問 # 1
正解： C

質問 # 2
正解： C

質問 # 3
正解： A

質問 # 4
正解： C

質問 # 5
正解： C