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PassTestは効率が良い受験法を教えてさしあげます。弊社のSeries63問題集は精確に実際試験の範囲を絞ります。弊社のSeries63問題集を利用すると、試験の準備をするときに時間をたくさん節約することができます。弊社の問題集によって、あなたは試験に関連する専門知識をよく習得し、自分の能力を高めることができます。それだけでなく、弊社のSeries63問題集はあなたがSeries63認定試験に一発合格できることを保証いたします。

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

1. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 90 days.
B) 30 days.
C) 60 days.
D) one year.

2. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.
B) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.
C) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
D) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.

3. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide information about the some of the fund's financial aspects, such as its closing net asset value on the previous day.
What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
B) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is not engaged in the purchase or sale of the fund shares.
C) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative in this case since she is providing information about a mutual fund.
D) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing information about a specific mutual fund.

4. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a deferred annuity
B) a Treasury Inflation Protected Security (TIPS)
C) an S&P 500 Index mutual fund
D) a high quality corporate bond fund

5. Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.

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

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