최신 Uniform Securities State Law Series63 무료샘플문제:
1. Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?
A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
B) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
D) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
2. Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
A) FINRA
B) the state administrator
C) NASAA
D) SEC
3. 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) 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.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.
D) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.
4. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC Bulletin Board. Noah did some research and felt the company was far too risky an investment for this client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became insolvent within six months of its IPO.
Has Noah done anything wrong?
A) Yes. Noah is guilty of misappropriation and could have his license revoked.
B) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
C) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
D) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
5. 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) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
C) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
질문과 대답:
| 질문 # 1 정답: C | 질문 # 2 정답: B | 질문 # 3 정답: A | 질문 # 4 정답: B | 질문 # 5 정답: C |
1343 개 고객 리뷰
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