FINRA資格試験はそんなに難しいのですか？弊社の資料を利用したら、Series63試験は簡単になります。お客様に最高のFINRA問題集を入手させるために、我々は常に問題集の質を改善し、ずっと最新の試験のシラバスに応じて問題集を更新しています。我々のSeries63問題集の解答を暗記すれば、お客様は必ずこの試験に合格することができます。

我々のITの専門家たちが日も夜も努力して、最高のSeries63模擬問題集（Uniform Securities Agent State Law Examination）を開発します。数年以来の努力を通して、今まで、弊社は自分のSeries63試験問題集に自信を持って、弊社の商品で試験に一発合格できるということを信じています。

あなたは短い時間でSeries63試験に合格できるために、我々は多くの時間と労力を投資してあなたにFINRAのSeries63試験を開発しますから、我々の提供する商品はIT認定試験という分野で大好評を得ています。だからこそ、我々はMogiExamの問題集に自信があります。我々の問題集を利用して試験に合格することができます。

あなたに安心にSeries63問題集を購入させるために、我々は最も安全的な支払手段を提供します。Credit Cardは国際的に最大の安全的な支払システムです。そのほかに、我々はあなたの個人情報の安全性を保証します。弊社の専門家たちのSeries63問題集（Uniform Securities Agent State Law Examination）への研究は試験の高効率に保障があります。

我々のFINRA Series63模擬試験は質量が高いので、受験者たちの大好評を博しました。弊社の商品の質量に疑問がありましたら、我々のサイトで無料のSeries63デモをダウンロードして見ることができます。我々の提供した一番新しくて全面的なFINRAのSeries63問題集はあなたのすべての需要を満たすことができます。資格をもらうのはあなたの発展の第一歩で、我々のSeries63日本語対策はあなたを助けて試験に合格して資格を取得することができます。

お客様を安心させるために、弊社は一番行き届いたアフターサービスを提供します。我々のSeries63問題集を購入したお客様は一年の無料更新サービスを得られています。我々の問題集は不定期的に更新されています。この一年間、Series63問題集は更新されたら、我々はお客様を知らせます。お客様の持っている問題集はずっと最新のを保証することができます。

それだけでなく、我々も失敗すれば返金という承諾をしています。お客様は弊社の問題集でSeries63試験に失敗したら、我々は問題集の支払い料金をお客様に戻り返します。お客様は成績書を我々に送って、我々はSeries63問題集の返金を処理します。

FINRA Series63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 Uniform Securities Agent State Law Examination 認定 Series63 試験問題:

1. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney. MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?

A) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
B) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
C) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
D) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.

2. Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?

A) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
B) All of the above describe prohibited practices.
C) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.
D) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.

3. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the Administrator?

A) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be an agent after she terminated her relationship with QuikDeals, so she need do nothing.
B) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
C) Maddie has the sole responsibility for notifying the Administrator.
D) Both QuikDeals and Maddie are responsible for notifying the Administrator.

4. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.

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

5. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least

A) five years.
B) Investment advisers must maintain their records for as long as they remain registered with the state.
C) three years.
D) seven years.

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