最新のSeries_63問題集で試験を準備する

FINRA Series_63 試験概要:

FINRA Series_63 試験シラバストピック:

FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題：

1. Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?

A) The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time.
B) The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come.
C) The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble.
D) The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed.

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

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

3. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a stock listed on the Tokyo Stock Exchange
C) a bond guaranteed by the Canadian government
D) a bond issued by another state's employees' credit union

4. Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has
been filed against a software manufacturer for monopolistic practices. The CFO of the company called his
broker today and sold some of the shares he owns in the company. Which of the following statements are
true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the
agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent
has knowingly executed this illegal insider trade for not having supervised the agent properly.

A) I, II, and III
B) None of the statements is true.
C) I and II only
D) I only

5. When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

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

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