FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:
1. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional
football team as clients. In advertising his services, Big Bo can
A) use testimonials from any of the players who willingly provide them without compensation.
B) list the names of the players he's advising as long as he doesn't provide any other specifics, such as
the amount each one has invested with him.
C) list the names of the players he's advising as long as he lists the names of all his other clients, too.
D) list the names of the players he's advising as long as he has their written permission to do so.
2. Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that
promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years.
The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely
hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he
said. The first units would be completed within a month, and the rents would be used to make the interest
payments. The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By
the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised
interest payments. Have there been any violation of securities laws in this instance?
A) No. This was simply a loan transacted between two parties.
B) Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
C) Yes. Ms. Naivete has been defrauded by Mr. Smooth.
D) Both B and C are true statements.
3. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?
A) The Administrator decides to send the case to criminal court.
B) The perpetrator willfully committed the fraudulent act.
C) The victim(s) lost a combined total of at least $25,000 because of the act.
D) The act extended across state lines.
4. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?
A) You tell her that you can do this for her, but only if you execute it as a margin transaction.
B) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
C) You tell her you can enter it for her as a "market not held" order.
D) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.
5. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is
A) $5,900.
B) $6,000.
C) $5,200.
D) $6,200.
質問と回答：
| 質問 # 1 正解： D | 質問 # 2 正解： D | 質問 # 3 正解： B | 質問 # 4 正解： C | 質問 # 5 正解： D |
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