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FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:

1. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A) Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
B) Finn has not violated any laws or engaged in any prohibited practices.
C) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
D) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.

2. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.

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

3. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday
afternoon, issues that had been brewing between her and another employee of the firm came to a head,
and Maddie impulsively quit her job. At this point,

A) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration
application.
B) Maddie will have to file a new application for registration with the Administrator upon finding
employment with another broker-dealer since she is no longer considered to be a registered agent by the
state.
C) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.
D) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.

4. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family
of load funds that it encourages its representatives to promote. Representatives of the firm that sell
shares in these funds to their clients receive a greater share of the load than they do if they sell load funds
offered by other firms. Based on these facts, which of the following statements is true?

A) Both A and B are true.
B) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is
an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure
requirement necessary if the recommendation is a sound one that can be proved to be based on the
client's specific situation.
C) John must provide his clients with a written disclosure that he will receive a greater remuneration for
selling shares in the Load family of funds than if he sells them shares in other funds before he provides his
clients with any investment advice.
D) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them
and has a fiduciary responsibility to them.

5. Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?

A) Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years.
B) Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
C) Fly-By-Night is required to shred all documentation of client transactions and communications.
D) Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years.

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