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. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay CanDo commissions for the purchase.
B) do nothing about it.
C) sue CanDo for not getting him the best price of the day-or anything close to it.
D) refuse to pay for the stock on the settlement date.

2. An investment adviser may not

A) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) also be registered as a broker-dealer in the state.
D) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.

3. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
B) Wheeler need not register in the state, and the securities are also exempt from registration.
C) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.

4. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday
afternoon, issues that had been brewing between her and another employee of the firm came to a head,
and Maddie impulsively quit her job. At this point,

A) Maddie will have to file a new application for registration with the Administrator upon finding
employment with another broker-dealer since she is no longer considered to be a registered agent by the
state.
B) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.
C) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration
application.
D) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.

5. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the
asset allocations of their portfolios. Jack Bean is

A) an agent.
B) an investment adviser.
C) an investment adviser representative.
D) an administrative assistant.

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