FINRA Series_63 試験概要:
| 認定ベンダー: | NASAA / FINRA |
| 試験名: | 統一証券代理人州法試験 |
| 試験番号: | Series 63 |
| 認定の有効期間: | 有効期限は固定されていませんが、通常は州の登録規則に応じて2〜5年間有効です |
| 出題数: | 65問（採点対象60問＋未採点5問） |
| 対応言語: | 英語 |
| 試験形式: | 多肢選択式 |
| 試験時間: | 75 minutes |
| 受験料: | USD 147 |
| 関連資格: | FINRA Securities Industry Essentials (SIE) FINRA Series 7 FINRA Series 66 FINRA Series 65 |
| 合格点: | 採点対象60問中43問正解 (72%) |
| サンプル問題: | FINRA Series_63 サンプル問題 |
| 受験方法: | Pearson VUEテストセンターで実施されます。限定的な配慮としてオンラインでのリモート試験が利用可能な場合があります。 |
| 前提条件: | 厳格な前提条件はありませんが、多くの受験者はSIEおよび/またはSeries 7に合格した後にSeries 63を受験します。証券代理人資格には州への登録が必要です。 |
| 公式シラバスのURL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series_63 試験シラバストピック:
| セクション | 比重 | 目標 |
|---|---|---|
| トピック 1: 投資顧問業者および代表者の規制 | - 投資顧問業者代表者（IAR）
| |
| トピック 2: 州証券法および関連規則 | 60% | - 統一証券法（Uniform Securities Act）の原則
|
| トピック 3: ブローカー・ディーラーおよびエージェントの規制 | - ブローカー・ディーラーの定義および要件
| |
| トピック 4: 倫理的慣行および受託者責任 | 40% | - 証券業務における倫理
|
FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題：
1. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers
in that
A) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is provided before the transaction even takes
place.
B) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is in the mail before proceeding with
the transaction.
C) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority
initially, followed up by written authority to be received within 10 days of the order, whereas an investment
adviser must require that written authority for the transaction is in the mail before proceeding with the
transaction.
D) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal
authority initially, followed up by written authority to be received within 10 days of the order, whereas a
broker-dealer must require that written authority for the transaction is provided before the transaction
even takes place.
2. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?
A) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
C) an agent who executes the purchase and sale of stocks and bonds for his clients
D) a credit union that operates within the state and provides loans to its members
3. An investment adviser may not
A) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
B) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
C) also be registered as a broker-dealer in the state.
D) take a position-either long or short-in securities in which any of its clients have a position.
4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?
A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
C) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
D) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
5. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.
A) I only
B) I and III only
C) I and II only
D) I, II, and III
質問と回答：
| 質問 # 1 正解： D | 質問 # 2 正解： A | 質問 # 3 正解： B | 質問 # 4 正解： C | 質問 # 5 正解： B |
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