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FINRA Series63 試験シラバストピック:

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

1. Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
B) The client agrees to pay the investment adviser an hourly fee of $60.00.
C) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
D) All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.

2. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a law firm that is organized as a partnership
B) a 16-year old cheerleader
C) a school district
D) a corporation

3. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) until December 31st.
B) for twelve months.
C) for three years.
D) for five years.

4. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
C) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock

5. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is serving as the qualified custodian of the client's funds.
If the investment adviser wants to avoid being considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to his client.
C) Record what securities were sent, when he received them, and when he forwarded them--which must be within three business days-to his client.
D) Record what securities were sent, when he received them, and when he forwarded them--which

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