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. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.
B) Wheeler need not register in the state, and the securities are also exempt from registration.
C) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
D) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.

2. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

3. The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment.

4. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
D) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.

5. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC)
can you legitimately make to your client?

A) The SIPC is the FDIC of the stock and bond markets."
B) "The SIPC is a government agency created by an Act of Congress to combat fraud."
C) "The SIPC is a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market."
D) "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."

問題與答案：