FINRA FINRA Certification Series_63

近年に、FINRA Series_63 「Uniform Securities Agent State Law Examination」 認定試験は重要なコンピュータ能力認定試験になっています。FINRA 国際認証資格取得者になったら、求職がもっと易く、高給料も当たり前です！

でも、どうやって簡単的にスムーズに FINRA Series_63 試験を合格しますか、JapanCert会社だ！助けるよ。

JapanCertは国際ＩＴ認証試験資料集を提供するＷｅｂです。JapanCert会社は最良最新の試験資料の資源です、JapanCert会社が提供する FINRA 認定資格試験問題集は豊富な経験のＩＴ専家に過去試験より一生懸命に研究する出題傾向のです。

問題集の正確率は９９％になって、１００％に合格できて、安心に試験しましょう。

我社の FINRA Series_63 は今では最新の問題集で、試験範囲を１００％網羅して一番な試験助手になります。20時間から３０時間ぐらいかかるなら、内容を覚えるだけいいです。

問題集がいつも最新の状態を持つために、FINRA Series_63 認証問題集を購入いただくお客様が一年の更新サービスを無料に提供します。もしこちらで提供する問題集を使用して未合格したら、Prometric或いはVUE発行する成績を確認後、全額に返金します、絶対にお金を無駄にならない。

JapanCert試験問題集はPDF版とソフト版を提供します。PDF版は印刷されることができます、ソフト版はどのパソコンでも使われることもできます。

JapanCertの試験資料を買うかどうかと迷ったら、FINRA Series_63 「Uniform Securities Agent State Law Examination」 試験の部分問題と回答を無料にダウンロードして試用する後、決めて信じてくれます。早ければJapanCertを信じてくれて、早く成功になっています。

簡単で便利な購入方法：ご購入を完了するためにわずか2つのステップが必要です。弊社は最速のスピードでお客様のメールボックスに製品をお送りします。あなたはただ電子メールの添付ファイルをダウンロードする必要があります。

Series_63オンライン版は Windows / Mac / Android / iOS 対応です。

FINRA Series_63 試験シラバストピック:

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

1. While on vacation in Colorado, Massachusetts resident Ms. Jetset meets Mr. Snow, a registered
representative with a Colorado broker-dealer, on a ski lift and accepts a dinner engagement with him later
that evening, during which he obtains her cell phone number. A week later, while she is lounging around
in her Florida beach condo, he calls and interests her in a local software company that is selling its
preferred stock to investors and encourages her to buy it. Ms. Jetset tells Mr. Snow she'll think about it
and calls him after she returns to her home in Massachusetts to tell him to buy the stock for her and sends
him a check via express mail. Later, Ms. Jetset learns that the preferred stock certificate that she received
is-and always was-a worthless piece of paper, and that, in fact, no such company ever existed. Which
state Administrator has jurisdiction in this instance?
I. the Administrator of the state of Colorado
II. the Administrator of the state of Florida
III. the Administrator of the state of Massachusetts

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

2. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
B) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
C) Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
D) Finn has not violated any laws or engaged in any prohibited practices.

3. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) II and III only
B) I and III only
C) None of the selections are prohibited practices.
D) III only

4. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A) II and III only
B) I and III only
C) None of the selections describe prohibited practices.
D) I only

5. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser
representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) the anniversary date of the original issue date on your license.
B) January 30th of the new year.
C) January 15th of the new year.
D) December 31st of this year.

質問と回答：