FINRA Series63

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我々社はUniform Securities Agent State Law Examination勉強資料をリリースされる以来、たくさんの好評を博しました。試験に合格したお客様は「Series63オンラインテストエンジンを利用して、模擬試験を繰り返して受けました。無事試験に合格しました。大変助かりました。」と感謝します。あなたの支持こそ我々は最も高品質のUniform Securities Agent State Law Examination問題集を開発して努力します。

FINRA Series63 試験シラバストピック:

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

1. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi

A) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B) is in violation of NASAA rules regarding investment company shares.
C) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
D) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.

2. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a final prospectus
B) a preliminary prospectus
C) a margin agreement if the purchase is being made on margin
D) a hypothecation agreement

3. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm had a professional four-color brochure printed that provides the years of industry experience of its management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30 years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for 20 of those 30 years, she was a secretary.
Has D. Vious violated any securities laws?

A) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
B) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
C) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.
D) No. Advertising brochures are not securities.

4. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is serving as the qualified custodian of the client's funds.
If the investment adviser wants to avoid being considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which
B) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to his client.
C) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to the qualified custodian of the client's funds.
D) Record what securities were sent, when he received them, and when he forwarded them--which must be within three business days-to his client.

5. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) issuer.
B) broker-dealer.
C) agent.
D) none of the above.

質問と回答：