FINRA Certification Series_63

Series_63시험덤프는 최상의 현명한 선택

Itexamdump에서 출시한 FINRA Series_63덤프이 샘플을 받아보시면 저희 사이트의 자료에 믿음이 생길것입니다. Series_63덤프 샘플문제외에 저희는 여러가지 서비스를 제공해드려 근심하고 있는 모든 점을 커버해드립니다.

FINRA Series_63 덤프를 구매하시면 구매일로부터 일년동안 업데이트서비스를 받을수 있는데 구매한 덤프가 업데이트 될 때마다 1년동안은 가장 최신버전을 무료로 메일로 발송해드립니다.

저희 사이트의Series_63덤프자료는 시험패스의 꿈을 현실로 되게 도와드리는 가장 좋은 기회이기에 이 글을 보게 되는 순간 후회없도록Series_63 덤프에 대해 알아보시고 이 기회를 잡아 시험패스의 꿈을 이루세요.

응시자 여러분들이Series_63 시험을 우수한 성적으로 합격할수 있도록 저희는 적중율 높은 최고품질인Series_63덤프를 제공해드리고 있습니다. 믿을수 없다면 저희 사이트에서 Series_63시험덤프의 샘플을 다운받아 보세요.

Itexamdump Series_63덤프의 최고의 구매후 서비스

저희 Itexamdump의 전문가들은 거의 매일 모든 덤프가 업데이트 가능한지 체크하고 있는데 업데이트되면 고객님께서 덤프구매시 사용한 메일주소에 따끈따끈한 가장 최신 업데이트된 덤프자료를 발송해드립니다.

고객님께 드린 약속을 꼭 지키려고 항상 최선을 다하고 있습니다. Series_63덤프로 가장 퍼펙트한 시험대비를 해보세요. 덤프에는 가장 최근 시험기출문제도 있고 전문가들이 시험출제경향에 따라 예측한 예상문제도 포함되어 있습니다.

만약 불행하게도 시험보는 시점에서 시험문제 변경되어 Series_63 (Uniform Securities Agent State Law Examination)시험에서 떨어진다면 고객님께서 지불한 덤프비용을 돌려드릴것입니다. 이와 같이 시험에서 불합격되면 덤프비용을 환불해드려 고객님의 이익을 최대한 보장해드릴려고 하고 있습니다.

FINRA Series_63 시험 요강 주제:

최신 FINRA Certification Series_63 무료샘플문제

문제 #1
Barring no irregularities (such as a license revocation by another state last year), after you have filed for
registration as an agent, your license will be granted within

A. 14 business days.
B. 30 days.
C. 10 business days.
D. 45 days.

문제 #2
George Geek is a computer programmer who tired of working for others and started his own company. He
convinced forty investors that he could design software that would rival Microsoft, and sold them each a
1 0% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates
himself. George told the investors that he had a product that was on the verge of being marketable and
that when it did-within the next two months-revenues would pour into the company, and he would begin
paying dividends. He told them they could expect a 20% return on their money this year, with even higher
returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was,
and he wasn't able to get all the bugs out of the program to make it marketable within the promised two
months. Within a year, George had tired of the project and was too busy picking up chicks in his new
Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach
mansion-and picking up chicks. His activities, of course, were financed by the extremely generous
"salary" he paid himself from the investors' monies. Under the Uniform Securities Act, do the investors
have any civil claims against George?

A. No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for
B. Yes. They can sue George for the return of their original investment, plus interest. George would also
have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and
suffering" on the parts of the clients.
C. No. The Uniform Securities Act only involves securities laws and partnership interests are not
D. Yes. They can sue George for the return of their original investment, plus interest. George would

문제 #3
Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A. It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
B. Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
C. Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
D. No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.

문제 #4
MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?

A. Yes. Investment advisers are required to use more than two broker-dealers when executing trades on
its clients' accounts.
B. Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
C. Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation
from broker-dealers with which it has a relationship, such as research or custodial services, other forms of
soft dollar compensation, including the payment of overhead expenses,are prohibited.
D. No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which
it has a relationship as long as they disclose this to their clients.

문제 #5
If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A. Both B and C are true statements.
B. is considered to have a revoked license until the courts rule otherwise.
C. must notify the Administrator of the state that it has appealed the decision.
D. can continue business as usual pending the resolution of the appeal.

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