FINRA Series63 試験概要:
| 認定ベンダー: | FINRA |
|---|---|
| 試験名: | 統一証券代理人州法試験 |
| 試験番号: | Series 63 |
| 試験時間: | 75 分 |
| 出題数: | 採点対象の多肢選択式問題60問 |
| 対応言語: | 英語 |
| 認定の有効期間: | 無期限 (州の登録および規制要件に従う) |
| 関連資格: | Series 7 Series 66 Series 6 |
| 試験形式: | コンピュータベース試験, 多肢選択式 |
| 受験料: | $147 USD |
| 合格点: | 72% (60問中43問正解) |
| 推奨トレーニング: | Securities Training Corporation (STC) - Series 63 Kaplan Financial Education - Series 63 |
| 受験申し込み: | FINRA Series 63 試験登録 |
| サンプル問題: | FINRA Series63 サンプル問題 |
| 受験方法: | コンピュータベース、認定試験センター (Prometric) での監督付き試験 |
| 前提条件: | 正式な前提条件はありませんが、通常、州の登録目的で Series 6 または Series 7 と同時、あるいはその後に受験されます |
| 公式シラバスのURL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 試験シラバストピック:
| セクション | 目標 |
|---|---|
| トピック 1: 行政規定および執行 | - 州の執行権限と罰則 - 記録保持および報告要件 |
| トピック 2: 投資顧問業者および代理人の規制 | - 代理人の登録要件 - ブローカー・ディーラーの規制と監督 |
| トピック 3: 州証券法および規制 | - 証券の登録と免除 - 統一証券法 (USA) の枠組み |
| トピック 4: 倫理的慣行と受託者責任 | - 禁止行為と詐欺防止 - 開示義務と顧客保護 |
FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題：
問題 #1
The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.
A. I, III or IV only
B. I, II, III, or IV
C. I or III only
D. III or IV only
問題 #2
To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
A. II and III only
B. II only
C. I and II only
D. I, II, and III
問題 #3
A margin transaction refers to a transaction
A. that is illegal under the guidelines of the Uniform Securities Act.
B. in which the client borrows some of the money that he is investing.
C. Both A and C are true statements.
D. in which a registered agent makes trades on a customer's account without that customer's knowledge.
問題 #4
n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?
A. Some of the information supplied on the registration application was found to be false.
B. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
C. The applicant has never before worked in the securities industry although he has received the requisite training.
D. The person has been convicted of check kiting within the past ten years.
問題 #5
You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should
A. do both A and B.
B. call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order on his behalf in case Mr. Pulse decides to place the order elsewhere.
C. advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
D. tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
解説：
| 問題 #1 正解： B | 問題 #2 正解： B | 問題 #3 正解： B | 問題 #4 正解： C | 問題 #5 正解： C |
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