FINRA FINRA Certification Series_63

近年、多くの人々は、FINRA　Series_63認定試験を取ることを選択します。あなたのスキルを測定する重要な基盤であるFINRAの証明書を取得することを助けるのは原因です。FINRA証明書を使用すると、より良い生活を得ることができます。

It-Passportsで、我々は最も正確かつ最新のSeries_63試験資料を提供します。 あなたはSeries_63試験のに準備している場合、It-Passports.comの試験質問と回答は絶対にあなたの最高のアシスタントです。我々のFINRAの研究材料に通じて最初の試行でFINRA　Series_63試験に合格することができます。また、他の参考書を勉強に多くの時間を費やす必要はありません。ただ20〜30時間を取って我々の試験材料をうまく把握するだけで十分でです。

It-Passportsは、多くの認定試験の資料を含むウェブサイトです。 経験豊富な専門家によって書かれている我々のPDF＆SOFT試験の質問と回答は品質とリーズナブルな価格に優れています。そして多くの顧客に信頼されています。ヒット率は99.9%に達します。Series_63試験に合格を保証します。It-Passports.comのテストエンジンを使用すると、シミュレートの実際の試験環境を与えます。そして、あなたは簡単にSeries_63試験に対応することができます。

購入する前に、我々の無料のデモを試してみて、Series_63試験の無料デモをダウンロードすることができます。 あなたが満足しているならば、 前を進んで完全なSeries_63試験質問回答を購入することができます。

FINRA Series_63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。）

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：

問題 #1
Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

問題 #2
Under the Uniform Securities Act, which of the following does not need to be included when filing to
register a security issue with the state?

A. a copy of any indenture applying to the security being registered
B. copies of the underwriter agreements
C. All of the above documents must be included when filing to register a security with the state.
D. a copy of the firm's articles of incorporation and bylaws, or the equivalent

問題 #3
Moe is a registered investment adviser doing business under the name of MoeMoney Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?

A. Larry only
B. Larry and Mary only
C. Mary and Curly only
D. Larry, Mary and Curly

問題 #4
Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and
told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that
weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC
Bulletin Board. Noah did some research and felt the company was far too risky an investment for this
client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became
insolvent within six months of its IPO. Has Noah done anything wrong?

A. Yes. Noah is guilty of misappropriation and could have his license revoked.
B. Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
C. Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
D. No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.

問題 #5
Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A. Yes. To purchase shares of their own company is considered to be illegal insider trading.
B. No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.
C. No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
D. Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.

解説：