Series_63 題庫具備高通過率

如果您不知道如何更有效的通過 FINRA Series_63 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 Series_63 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 Series_63 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。

Series_63 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 Series_63 考试的首選學習資料。FINRA Series_63 考試主要用於具有較高水準的實施顧問能力，獲取 FINRA Certification 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 Series_63 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。

Series_63 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 Series_63 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。

Series_63 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 Series_63 這樣的優秀的題庫資料，既是最好的題庫資料保證您通過 Series_63 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 Series_63 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 Series_63 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 Series_63 題庫問題及答案能第一次毫不費力的通過考試，獲得 FINRA Certification證書。

提供免費試用 Series_63 題庫資料

Series_63 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 Series_63 培訓資料的品質，希望 FINRA Series_63 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 Series_63 在線考題資料。Series_63 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 Series_63 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 Series_63 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 Series_63 培訓資料，在所有的培訓資料裏是佼佼者。FINRA Series_63 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 Series_63 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 FINRA Certification Series_63 免費考試真題:

1. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the
broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time
and price the broker-dealer believes is a good deal.
B) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
C) an agreement signed by a client who is executing a margin transaction that allows the broker to hold
the margined securities in street name as collateral for the loan.
D) a document signed by a client indicating that he or she understands that some of the charts and
examples presented in a broker-dealer's advertising literature are based on hypothetical trades.

2. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

3. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year
Treasury note.
B) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform
Securities Act.
C) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average
annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the
fact that the fund has returned an average annual rate of return of 6% over the past ten years.
D) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.

4. Which of the following describes an investment adviser that is not required to register with the state
Administrator?

A) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.
B) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
C) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.
D) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.

5. Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading
claims about various investment to investors. He had had it with all the rain anyway and decided to move
to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side
(more than his day job provided, in fact) by supplying illegal immigrants with official-looking
documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the
mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located
in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the
firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform
Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities,

A) Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license
had been revoked by the Administrator of another state.
B) Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for
employing an individual whose license had been revoked by the Administrator of another state since it
obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.
C) Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or
should have known of the revocation of Sam Shade's (aka Ian Creed) license.
D) Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose
license had been revoked by the Administrator of another state since it obviously did not use due
diligence in hiring Ian Creed, aka Sam Shade.

問題與答案：

問題 #1 答案： C

問題 #2 答案： A

問題 #3 答案： C

問題 #4 答案： D

問題 #5 答案： C