Series63 題庫具備高通過率

如果您不知道如何更有效的通過 FINRA Series63 考試，我給您一個建議是選擇一個良好的培訓網站，這樣可以起到事半功倍的效果。在這裏向廣大考生推薦這個最優秀的 FINRA 的 Series63 題庫參考資料，這是一個與真實考試一樣準確的練習題和答案相關的考試材料，也是一個能幫您通過 FINRA Series63 認證考試很好的選擇。如果您使用了我們網站的培訓工具，您將100%通過您的第一次參加的 FINRA 考試。

Series63 擬真試題覆蓋了真實的考試中的問題，已經成為考生通過 FINRA 的 Series63 考试的首選學習資料。FINRA Series63 考試主要用於具有較高水準的實施顧問能力，獲取 Uniform Securities State Law 證書，以確保考生有一個堅實的專業基礎知識，有利於他們將此能力企業專業化。準備 FINRA 考試的考生，需要熟練了解 FINRA 的 Series63 擬真試題，快速完成測試，就能高效通過 FINRA 認證考試，為您節省大量的時間和精力。

Series63 是高品質的題庫資料

還可以為客戶提供一年的免費線上更新服務，第一時間將最新的資料推送給客戶，讓客戶瞭解到最新的 FINRA Series63 考試資訊，所以本站不僅是個擁有高品質的題庫網站，還是個售後服務很好的網站。

Series63 題庫資料肯定是您見過的最好的學習資料。為什麼可以這麼肯定呢？因為再沒有像 FINRA 的 Series63 這樣的優秀的題庫資料，既是最好的題庫資料保證您通過 Series63 考試，又給您最優質的服務，讓客戶百分之百的滿意。我們的最新 FINRA Series63 試題及答案，為考生提供了一切您所需要的考前準備資料，關於 FINRA 考試的最新的 Series63 題庫，考生可以從不同的網站或書籍找到這些問題，但關鍵是邏輯性相連，FINRA 的 Series63 題庫問題及答案能第一次毫不費力的通過考試，獲得 Uniform Securities State Law證書。

提供免費試用 Series63 題庫資料

Series63 試題及答案作為試用，目前我們只提供PDF版本的試用DEMO，軟件版本只提供截圖。這樣一來您就知道最新的 FINRA Series63 培訓資料的品質，希望 FINRA Series63 考古題是廣大IT考生最佳的選擇。

我們為考生提供了只需要經過很短時間的學習就可以通過考試的 FINRA Series63 在線考題資料。Series63 題庫包含了實際考試中一切可能出現的問題。所以，只要考生好好學習 Series63 考古題，那麼通過 FINRA 認證考試就不再是難題了。

我們承諾使用 FINRA 的 Series63 考試培訓資料，確保考生在第一次嘗試中通過 FINRA 測試，這是互聯網裏最好的 Series63 培訓資料，在所有的培訓資料裏是佼佼者。FINRA Series63 不僅可以幫助您順利通過考試，還可以提高您的知識和技能，也有助於您的職業生涯在不同的條件下都可以發揮您的優勢，所有的國家一視同仁。

購買後，立即下載 Series63 題庫 (Uniform Securities Agent State Law Examination): 成功付款後, 我們的體統將自動通過電子郵箱將您已購買的產品發送到您的郵箱。（如果在12小時內未收到，請聯繫我們，注意：不要忘記檢查您的垃圾郵件。）

最新的 Uniform Securities State Law Series63 免費考試真題:

1. Which of the following statements regarding an investment adviser representative who has an office in the state is true?

A) Regardless of whether the investment adviser is registered with the SEC or is registered with the state, all investment adviser representatives of the firm must be registered with the state if they have offices in the state.
B) If the investment adviser that the investment adviser representative is affiliated with is itself registered with the state, then the investment adviser representative does not need to apply for a separate registration, regardless of whether the investment adviser representative has an office in the state.
C) If an investment adviser representative is registered with the SEC, he or she need not obtain state registration, regardless of whether the investment adviser representative has an office in the state.
D) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its affiliated investment adviser representative needs to be registered with the state.

2. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent III. information regarding the investment adviser used by the fund IV. an explanation of the various loads and fees outlined in the fund's prospectus

A) I, II, and IV only
B) I, II, III, and IV
C) I and II only
D) I, II, and III only

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) Mary and Curly only
C) Larry, Mary and Curly
D) Larry and Mary only

4. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he lists the names of all his other clients, too.
B) use testimonials from any of the players who willingly provide them without compensation.
C) list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
D) list the names of the players he's advising as long as he has their written permission to do so.

5. An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?

A) No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."
B) No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
C) Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
D) Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."

問題與答案：

問題 #1 答案： A

問題 #2 答案： A

問題 #3 答案： A

問題 #4 答案： D

問題 #5 答案： C