有効で正確な内容

私たちのSeries_63問題集参考書は、最新の試験の知識と高い精度と高品質の質問が含まれます。私たちのSeries_63最新問題集の質問を練習することで、元のユーザーは95-100％合格率でテストに合格し、その率は近年増加し続けているため、世界中で好評を得ています。私たちは常に、Series_63　Uniform Securities Agent State Law Examination受験ガイドで望ましい結果を得るのを助けるために努力します。これは、最も効果的で正確なSeries_63問題集を完成するには専門家のチームを設立する理由です。最も有用で新しい内容を整理するために、彼らは時代の発展に注意を払っています。あなたが我々のSeries_63最新問題集を選択すると、決して失望することはありませんし、あなたは絶対に望ましい結果を得ることができます。

短時間で効率的に

効率と生産性を追求する時ですので、できるだけ早く実現したいと考えています。我々のSeries_63　Uniform Securities Agent State Law Examination学習ガイドは少ない時間と合理的なお金であなたはベストの結果を得るのを助け、あなたのFINRA　Series_63試験の最善選択です。元の顧客が費やした平均時間が20〜30時間というデータが得られたため、重要な証明書を効率的に取得することができます。私たちのウェブサイトで注文した後、5～10分以内にSeries_63問題集が添付されたメールが届きます。したがって、キューイングする必要はなく、Series_63最新問題集を速く取られることができます。だから私たちのSeries_63　Uniform Securities Agent State Law Examination学習ガイドを選ぶのは成功するための最善の手段です。頑張ろう！

Uniform Securities Agent State Law Examination試験問題集をすぐにダウンロード：成功に支払ってから、我々のシステムは自動的にメールであなたの購入した商品をあなたのメールアドレスにお送りいたします。（12時間以内で届かないなら、我々を連絡してください。Note：ゴミ箱の検査を忘れないでください。）

良い学習のための信頼できるSeries_63練習問題

私たちのSeries_63　Uniform Securities Agent State Law Examination試験ガイドは長年に渡って試験の内容を熟知する専門家チームによって作成され、試験に精通しており、試験の候補者が試験に合格できるように支援します。Series_63問題集参考書のすべての知識は、あなたの便宜のために簡潔です。そのため、実際試験の要件に応じて、Series_63最新問題集の質問が作成されます。彼らの専業と忠実はあなたが想像する以上ものです。私たちの試験の候補者には、それは正しい方法です。あなたのSeries_63　Uniform Securities Agent State Law Examination最新の質問を購入すると、あなたは絶対に増給を得て昇進を持ち、あなたの人生を変えます。

現時点では、私たちは毎日に多くのチャレンジに直面しており、効率と正確さでそれらを解決するために、どの方法が問題に対処するのが最善であるか混乱することがよくあります。FINRA Series_63試験に合格する最良の資料を選択するのと同じです。多くの同様の本当の質問を悩んでいて、より効率的で効果的なものについてのあなたの選択は非常に重要です。多くの製品はまだ芽生えているレベルですが、我々のSeries_63　Uniform Securities Agent State Law Examination勉強ガイドは長年の発展の後に好評を得ています。今は一緒に機能を見てみましょう。

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

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

A) 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.
B) Both A and C can be advertised as "no load" funds.
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.

2. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC)
can you legitimately make to your client?

A) The SIPC is the FDIC of the stock and bond markets."
B) "The SIPC is a government agency created by an Act of Congress to combat fraud."
C) "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."
D) "The SIPC is a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market."

3. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt.
B) An investment adviser keeps a client's securities in its safety deposit box.
C) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt.
D) An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request.

4. Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading
claims about various investment to investors. He had had it with all the rain anyway and decided to move
to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side
(more than his day job provided, in fact) by supplying illegal immigrants with official-looking
documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the
mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located
in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the
firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform
Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,

A) Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose
license had been revoked by the Administrator of another state since it obviously did not use due
diligence in hiring Ian Creed, aka Sam Shade.
B) Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or
should have known of the revocation of Sam Shade's (aka Ian Creed) license.
C) Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for
employing an individual whose license had been revoked by the Administrator of another state since it
obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
D) Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license
had been revoked by the Administrator of another state.

5. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a certificate of deposit (CD)
B) a put option
C) a debenture
D) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.

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