最新のSeries63問題集で試験を準備する

FINRA Series63 試験概要:

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：

問題 #1

You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A. Monday, September 27th.
B. Thursday, September 23rd.
C. Friday, September 24th.
D. Tuesday, September 28th.

問題 #2

Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?

A. Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.
B. Neither the notes nor the individuals selling the notes need to be registered with the state.
C. The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
D. The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.

問題 #3

Which of the following persons is required to maintain its records in accordance with state dictates and meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser III. investment adviser representative

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

問題 #4

The Uniform Securities Act (USA) is

A. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.
B. federal legislation that requires all states to adopt the same registration requirements for all.
C. a set of guidelines for individual states to follow when formulating their own securities' laws.
D. a body of laws governing the purchase and sale of securities within a single state.

問題 #5

In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry, charging its clients for investment advice for additional remuneration. One of the firm's clients has been advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in these securities in the secondary market.
Which of the following statements is true?

A. A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the part of the seller in the transaction.
B. A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and receives the client's written consent before the transaction is settled.
C. A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
D. Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would be a conflict of interest.

解説：