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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. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Method II only
B) Method I only
C) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
D) Methods I and III only

2. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of each quarter.

A) II and III only
B) None of the selections describe prohibited practices.
C) I only
D) I and III only

3. Which of the following would not be found in a tombstone advertisement?

A) the price at which the security will be offered
B) the interest rate and time to maturity of a bond issue
C) the names of the underwriters
D) the name of the issuer

4. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A) the number of any complaints that each of its investment adviser representatives has received during the period
B) the total number of agency cross transactions completed for the client during the period
C) the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
D) both A and B

5. A margin transaction refers to a transaction

A) in which the client borrows some of the money that he is investing.
B) in which a registered agent makes trades on a customer's account without that customer's knowledge.
C) that is illegal under the guidelines of the Uniform Securities Act.
D) Both A and C are true statements.

質問と回答：