FINRA Uniform Securities Agent State Law Examination : Series_63

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FINRA Series_63 考試大綱主題:

最新的 FINRA Certification Series_63 免費考試真題：

問題 #1

Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

問題 #2

A margin transaction refers to a transaction

A. in which the client borrows some of the money that he is investing.
B. that is illegal under the guidelines of the Uniform Securities Act.
C. in which a registered agent makes trades on a customer's account without that customer's knowledge.
D. Both A and C are true statements.

問題 #3

You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.

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

問題 #4

Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A. An exempt security is any security being sold as a private placement.
B. An exempt security is any security that is being sold by an institutional investor, such as a bank, to
another institutional investor, such as another bank or an insurance company.
C. An exempt security is one that need not be registered in the state in which it is sold.
D. An exempt security is any security that is being sold in an isolated non-issuer transaction.

問題 #5

Which of the following does not need to be included in an investment advisory contract?

A. the total amount of money that the investment adviser currently has under management
B. a statement that the contract cannot be assigned to another party without the client's consent
C. the term of the contract
D. the advisory fees and the formula used to compute them

問題與答案：