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FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:

1. When a client has purchased securities on margin, the broker-dealer

A) must keep the securities that the client paid cash for separate from the securities that the client purchased on margin.
B) Both B and C are correct statements.
C) may require that the client leave all his securities, even those not purchased on margin, in street name.
D) 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.

2. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?

A) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
B) Ms. Swyne must forward the complaint to the state Administrator.
C) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
D) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.

3. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

A) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
B) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.)
C) Freedom broker-dealers executes the purchase and sale of securities for its customers.
D) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.

4. Which of the following would be considered an "issuer" transaction?

A) None of the above is an "issuer" transaction.
B) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
C) Kim sells an AT&T bond she holds that still has three years remaining to maturity.
D) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.

5. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.
D) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.

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