FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:
1. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your other knowledge of her situation, you believe it to be an unwise move. You should
A) turn the matter over to your supervisor.
B) call the mutual fund and tell them that they must convince this client that an investment in their fund is not in her best interest, under penalty of law.
C) nod politely, but not execute the transactions since they are not in her best interest.
D) advise her that you don't believe this is in her best interest, but execute the required transactions if she insists.
2. The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.
A) I, III or IV only
B) I, II, III, or IV
C) I or III only
D) III or IV only
3. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is
A) an agent.
B) an investment adviser representative.
C) an investment adviser.
D) a broker-dealer.
4. You have recently discovered that a security you purchased has not been registered with the state, nor is it exempt from registration. You can file a civil claim against the seller as long as you do so within
A) three years from discovery or five years from the event, whichever comes first.
B) one year from discovery.
C) two years from discovery or three years from the event, whichever comes first.
D) five years.
5. When a client has purchased securities on margin, the broker-dealer
A) may use any securities that the client purchased on margin as collateral for a loan from a bank upon receiving a written agreement signed by the client.
B) must keep the securities that the client paid cash for separate from the securities that the client purchased on margin.
C) may require that the client leave all his securities, even those not purchased on margin, in street name.
D) Both B and C are correct statements.
質問と回答：
| 質問 # 1 正解： D | 質問 # 2 正解： B | 質問 # 3 正解： A | 質問 # 4 正解： C | 質問 # 5 正解： D |
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