免費一年的 Series_63 題庫更新

為你提供購買 FINRA Series_63 題庫產品一年免费更新，你可以获得你購買 Series_63 題庫产品的更新，无需支付任何费用。如果我們的 FINRA Series_63 考古題有任何更新版本，都會立即推送給客戶，方便考生擁有最新、最有效的 Series_63 題庫產品。

通過 FINRA Series_63 認證考試是不簡單的，選擇合適的考古題資料是你成功的第一步。因為好的題庫產品是你成功的保障，所以 FINRA Series_63 考古題就是好的保障。FINRA Series_63 考古題覆蓋了最新的考試指南，根據真實的 Series_63 考試真題編訂，確保每位考生順利通過 FINRA Series_63 考試。

優秀的資料不是只靠說出來的，更要經受得住大家的考驗。我們題庫資料根據 FINRA Series_63 考試的變化動態更新，能夠時刻保持題庫最新、最全、最具權威性。如果在 Series_63 考試過程中變題了，考生可以享受免費更新一年的 FINRA Series_63 考題服務，保障了考生的權利。

安全具有保證的 Series_63 題庫資料

在談到 Series_63 最新考古題，很難忽視的是可靠性。我們是一個為考生提供準確的考試材料的專業網站，擁有多年的培訓經驗，FINRA Series_63 題庫資料是個值得信賴的產品，我們的IT精英團隊不斷為廣大考生提供最新版的 FINRA Series_63 認證考試培訓資料，我們的工作人員作出了巨大努力，以確保考生在 Series_63 考試中總是取得好成績，可以肯定的是，FINRA Series_63 學習指南是為你提供最實際的認證考試資料，值得信賴。

FINRA Series_63 培訓資料將是你成就輝煌的第一步，有了它，你一定會通過眾多人都覺得艱難無比的 FINRA Series_63 考試。獲得了 FINRA Certification 認證，你就可以在你人生中點亮你的心燈，開始你新的旅程，展翅翱翔，成就輝煌人生。

選擇使用 FINRA Series_63 考古題產品，離你的夢想更近了一步。我們為你提供的 FINRA Series_63 題庫資料不僅能幫你鞏固你的專業知識，而且還能保證讓你一次通過 Series_63 考試。

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。）

Series_63 題庫產品免費試用

我們為你提供通过 FINRA Series_63 認證的有效題庫，來贏得你的信任。實際操作勝于言論，所以我們不只是說，還要做，為考生提供 FINRA Series_63 試題免費試用版。你將可以得到免費的 Series_63 題庫DEMO，只需要點擊一下，而不用花一分錢。完整的 FINRA Series_63 題庫產品比試用DEMO擁有更多的功能，如果你對我們的試用版感到滿意，那么快去下載完整的 FINRA Series_63 題庫產品，它不會讓你失望。

雖然通過 FINRA Series_63 認證考試不是很容易，但是還是有很多通過的辦法。你可以選擇花大量的時間和精力來鞏固考試相關知識，但是 Sfyc-Ru 的資深專家在不斷的研究中，等到了成功通過 FINRA Series_63 認證考試的方案，他們的研究成果不但能順利通過Series_63考試，還能節省了時間和金錢。所有的免費試用產品都是方便客戶很好體驗我們題庫的真實性，你會發現 FINRA Series_63 題庫資料是真實可靠的。

最新的 FINRA Certification Series_63 免費考試真題:

1. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
B) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.
C) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
D) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.

2. Which of the following funds can an agent indicate is "no load?"

A) Both A and C can be advertised as "no load" funds.
B) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.

3. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA)?

A) Freedom broker-dealers executes the purchase and sale of securities for its customers.
B) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client
forms that contain confidential information, and directing calls to registered representatives of the firm.
C) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
D) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA.)

4. Which of the following would not fall under the classification of "institutional investor"?

A) Franklin Templeton Mutual Funds
B) Neuring Investment Advisers
C) Prudential Insurance
D) Chase Bank

5. Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?

A) Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
B) Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies.
C) No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.
D) No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.

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