Tech4Examはどんな学習資料を提供していますか？

現代技術は人々の生活と働きの仕方を革新します（Series_63試験学習資料）。 広く普及しているオンラインシステムとプラットフォームは最近の現象となり、IT業界は最も見通しがある業界（Series_63試験認定）となっています。 企業や機関では、候補者に優れた教育の背景が必要であるという事実にもかかわらず、プロフェッショナル認定のようなその他の要件があります。それを考慮すると、適切なFINRA　Uniform Securities Agent State Law Examination試験認定は候補者が高給と昇進を得られるのを助けます。

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様々な復習資料が市場に出ていることから、多くの候補者は、どの資料が適切かを知りません。この状況を考慮に入れて、私たちはFINRA　Series_63の無料ダウンロードデモを候補者に提供します。弊社のウェブサイトにアクセスしてUniform Securities Agent State Law Examinationデモをダウンロードするだけで、Series_63試験復習問題を購入するかどうかを判断するのに役立ちます。多数の新旧の顧客の訪問が当社の能力を証明しています。私たちのSeries_63試験の学習教材は、私たちの市場におけるファーストクラスのものであり、あなたにとっても良い選択だと確信しています。

Series_63試験学習資料を開発する専業チーム

私たちはSeries_63試験認定分野でよく知られる会社として、プロのチームにUniform Securities Agent State Law Examination試験復習問題の研究と開発に専念する多くの専門家があります。したがって、我々のFINRA Certification試験学習資料がSeries_63試験の一流復習資料であることを保証することができます。私たちは、FINRA Certification　Series_63試験サンプル問題の研究に約10年間集中して、候補者がSeries_63試験に合格するという目標を決して変更しません。私たちのSeries_63試験学習資料の質は、FINRA専門家の努力によって保証されています。それで、あなたは弊社を信じて、我々のUniform Securities Agent State Law Examination最新テスト問題集を選んでいます。

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Series_63試験認定を取られるメリット

ほとんどの企業では従業員が専門試験の認定資格を取得する必要があるため、Series_63試験の認定資格がどれほど重要であるかわかります。テストに合格すれば、昇進のチャンスとより高い給料を得ることができます。あなたのプロフェッショナルな能力が権威によって認められると、それはあなたが急速に発展している情報技術に優れていることを意味し、上司や大学から注目を受けます。より明るい未来とより良い生活のために私たちの信頼性の高いSeries_63最新試験問題集を選択しましょう。

Uniform Securities Agent State Law Examination試験学習資料での高い復習効率

ほとんどの候補者にとって、特にオフィスワーカー、Series_63試験の準備は、多くの時間とエネルギーを必要とする難しい作業です。だから、適切なSeries_63試験資料を選択することは、Series_63試験にうまく合格するのに重要です。高い正確率があるSeries_63有効学習資料によって、候補者はUniform Securities Agent State Law Examination試験のキーポイントを捉え、試験の内容を熟知します。あなたは約2日の時間をかけて我々のSeries_63試験学習資料を練習し、Series_63試験に簡単でパスします。

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

1. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) the agreement between the issuing firm and the underwriters
B) the agreement among the underwriters themselves
C) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.
D) all sales and advertising materials that will be used in conjunction with the offering.

2. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
D) All of the above describe prohibited practices.

3. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
B) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.
C) Wheeler need not register in the state, and the securities are also exempt from registration.
D) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.

4. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
B) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
C) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
D) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.

5. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
B) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.
C) Yes. Agents are not permitted to include a picture of themselves on their business cards.
D) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.

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