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、Series_63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Series_63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Series_63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Series_63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Series_63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Series_63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Series_63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Series_63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 Series_63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Series_63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Series_63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Series_63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Series_63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、Series_63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Series_63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Series_63問題集の返金を処理します。

FINRA Series_63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 Series_63 試験問題:

1. In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return
over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal
over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is
because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund
to continue earning a return higher than the S&P 500 Index. Is YourMoney guilty of any security
violations?

A) Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning
a return higher than the S&P 500 Index." Past performance is no indication of future performance.
B) Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten
years. The fund is obviously misstating its returns.
C) No. Regulations require only that the mutual fund provide charts and tables of its average annual
returns, with a statement comparing the fund performance with a relevant market index.YourMoney has
done this and more.
D) No. YourMoney properly revealed to prospective investors the fact that its higher than average returns
are the result of its investment in riskier securities.

2. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

3. A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its
clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a
client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades
per month for a specified fee. Another, slightly more expensive, plan provides the client with the same
maximum number of trades per month, but the client also receives a personalized quarterly review of his
portfolio along with advice for restructuring his portfolio based on such factors as current market
conditions and specific industry or company information. The most expensive plan is one in which the
client is assigned to an individual portfolio manager, who will take total responsibility for the asset
allocation of the client's portfolio and will provide the client with monthly reports. Based on the services
A-2-Z provides, it must register with the state as:

A) both a broker-dealer and an investment adviser.
B) a broker-dealer.
C) an investment adviser representative.
D) an investment adviser.

4. After passing the necessary exams, you must submit which of the following to the state Administrator
when applying for registration as an agent?

A) Form ADV
B) a recent photograph of yourself
C) U-4
D) proof that you meet the state's minimum net capital requirement

5. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a certificate of deposit (CD)
B) a put option
C) a debenture
D) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.

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