購入する前に無料トライアル

Series63教材は消費者に無料のトライアルサービスを提供します。お客様が弊社の研究材料に興味があれば、公式ウェブサイトを入力するだけでよく、すぐに無料で試験問題をダウンロードして体験することができます。試験を通して、Series63試験ガイドの異なる学習経験を持つでしょう、私たちが言うことは嘘ではないことがわかります、そしてすぐに私たちの製品に恋をするでしょう。人生の成功への鍵として、弊社の学習教材がお客様にもたらすことができる利益はお金によって測定されません。Series63 テストUniform Securities Agent State Law Examinationは試験に合格するのを助けるだけでなく、新しい一連の学習方法を掌握し、効率的に勉強する方法を教えるのに役立ちます。弊社の教材は成功へ導きます。

模擬試験機能

Series63教材の内容はすべて、審査の概要および長年にわたる業界開発の動向に基づいて業界の専門家によってまとめられています。それは市場の質問バンクの内容と重ならず、そして繰り返しの練習によって引き起こされる疲労を避けます。Series63試験ガイドは単に試験問題のパッチワークではありませんが、独自のシステムと階層レベルを備えているため、ユーザーが効果的に学習品質を向上させることができます。私たちの学習教材には、異なる科目の特性と範囲に応じて試験専門家によって作成された試験問題が含まれています。実際のUniform Securities Agent State Law Examinationテスト環境をシミュレートします。テストが終了した後、システムはまた合計スコアと正解率を与えます。

試験前にわずか20-30時間の学習

平穏な時間には、試験の掌握に何か月も1年もかかるかもしれませんが、Series63試験ガイドを使えば、試験前の学習時間には20-30時間を費やすだけで済み、教材を使えばもう不要です。私たちの学習教材はすでにすべての重要なテストポイントを含んでいます。同時に、Series63教材は、試験のためにまったく新しい学習方法を提供します。多くの知識を理解できないので、本を読むのに頭痛を感じる人がたくさんいます。同時に、教科書の中の煩わしい説明は、人々に眠気を感じさせます。しかしSeries63テストUniform Securities Agent State Law Examinationを使えば、お客様はもうこれらの問題を抱えることはないでしょう。

お客様が新人であろうと、より経験を積んだ老人であろうと、Series63教材は、長年にわたる試験の概要と業界動向の変化に基づいてそれらをまとめた私たち最良の選択でしょう。Series63テスト、Uniform Securities Agent State Law Examinationは学習効率を向上させるのに役立つだけでなく、最大で数ヶ月から1ヶ月、あるいは2〜3週間もの学習時間を短縮するのに役立ちます。最大効率を得るための時間と努力です。

デモをダウンロードする

FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:

1. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either before or after executing a client's trade on the same commodity, depending on which will be most advantageous.
Under the Uniform Securities Act, the broker-dealer is guilty of

A) churning.
B) fraud.
C) unauthorized transactions.
D) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.

2. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
B) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
C) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.
D) Erin must register as an investment adviser since she is providing investment advice.

3. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
B) Both A and B are true.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
D) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.

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

5. 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 10% 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) 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.
B) No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for.
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.

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