最新なFINRA Series_63問題集（255題）、真実試験の問題を全部にカバー！

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弊社のSeries_63問題集のメリット

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FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:

1. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which
C) Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client.
D) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client.

2. Which of the following constitutes a non-punitive order?

A) summary license suspension
B) All of the above are punitive orders.
C) registration cancellation
D) registration denial

3. 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) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
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) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.

4. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?

A) Maybe. But it will require written consent from both your brother and your firm.
B) No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act.
C) Yes. This is permitted since the agreement is between you and a family member.
D) Yes, as long as your brother provides your firm with his written consent.

5. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
D) All of the above describe prohibited practices.

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