選択可能の三つバージョン

弊社はお客さんの需要を満たすために、三つのバーオンを準備します。PDF版、ソフト版、オンライン版があります。それぞれのメリットがあります。あなたは自分の好きに選択できます。PDF版は紙でプリントして、学習時にメーモをつけます。ソフト版は複数のパソコンで利用でき、windowsシステムのみに運行できます。オンラインテストエンジンはどんな電子設備で利用されます（Windows/Mac/Android/iOS対応）。同時に、オフライン使用をサポートします。

一年間の更新提供

JpshikenのSeries_63問題集参考書は専門家によって長年を通じて研究した勉強資料です。実際試験のキーポイントを把握するから、100%の合格率を持っています。我々の問題集は一年の中で無料で更新されいます。だから、お客様は安心でSeries_63試験参考書をご利用してください。

我々の専門家たちは過去のデータを研究して開発しているSeries_63問題集参考書は全面的で高質量ですから、我々の提供するSeries_63問題集を使用して、あなたの試験に保障があります。速く我々の提供するSeries_63問題集を手に入れましょう。

数年以来の整理と分析によって開発されたSeries_63問題集参考書は権威的で全面的です。我々の提供する資料を利用して試験に合格できます。この問題集の通過率は高いので、多くのお客様からSeries_63問題集への好評をもらいました。99％の通過率は我々の業界でのリーダの地位を決めました。全面的なのは我々Series_63問題集はカバー率が高いで、本当の試験に出る問題が含まれます。だから、弊社の提供するSeries_63問題集参考書を暗記すれば、きっと試験に合格することができます。

短時間で試験に合格する

Series_63問題集参考書は試験の重要点を含まれて、良い勉強方法を提供します。だから、お客様は試験準備の時、時間を節約することができます。お客様はSeries_63試験を受ける時、たくさんの知識を学ぶことができます。もちろん、勉強方法も知っています。さらに、Series_63試験問題集参考書は本当の試験の内容を含まれるから、勉強して認定知識のキーポイントを把握できて、短時間でSeries_63試験に合格できます。

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:

セクション	目標
登録手続きおよび要件	- 代理人およびブローカー・ディーラーの登録プロセス - 州への届出および更新
州証券法および関連規則	- 証券、ブローカー・ディーラー、代理人、および投資顧問の登録 - 統一証券法における定義および用語 - 免除証券および免除取引
規制条項およびコンプライアンス	- 記録保持および管理規定 - 執行措置および罰則 - 倫理的慣行および受託者責任

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

1. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
B) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.
C) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.
D) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.

2. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) The investment adviser may borrow money from a client if the client is a bank.
B) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
C) The investment adviser may borrow money in either of the scenarios described in B or C.
D) It is never permissible for an investment adviser to borrow money from a client.

3. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B) Jack will need to register as a sales representative if he performs any one of the above activities.
C) represents NewCorp in any transactions with financial institutions.
D) participates in the selling of the new stock to individual investors.

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

5. 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) Erin must register as an investment adviser since she is providing investment advice.
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) 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.

質問と回答：

質問 # 1
正解： B

質問 # 2
正解： A

質問 # 3
正解： D

質問 # 4
正解： A

質問 # 5
正解： B