Series63の無料問題集（251題）、Series63認定試験参考書

FINRA Series63 問題集

試験コード：Series63

試験名称：Uniform Securities Agent State Law Examination

最近更新時間：2025-07-04

問題と解答：全251問

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質問 1：
To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by
A. January 15th of the new year.
B. December 31st of this year.
C. the anniversary date of the original issue date on your license.
D. January 30th of the new year.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 2：
While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer, discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast Eddie nor his broker-dealer are registered to do business in either of those states. Under these circumstances,
A. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is a private placement.
B. Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and negotiate a finder's fee for referring Mr. Moneybags to them.
C. Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in the state of Massachusetts.
D. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is an unsolicited transaction.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 3：
No: 167
A "market not held" order is
A. a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
B. an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
C. an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
D. an order to buy or sell a stock at a specified price, which differs from the current market price.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 4：
Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is acting as a dealer?
A. HiGrowth Corporation
B. GetErDone Broker-Dealers
C. Mr. Bigwig
D. BigFee Investment Bankers
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?
A. Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
B. Erin must register as an investment adviser since she is providing investment advice.
C. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.
D. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
正解：A
解説: (Topexam メンバーにのみ表示されます)

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

1. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm had a professional four-color brochure printed that provides the years of industry experience of its management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30 years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for 20 of those 30 years, she was a secretary.
Has D. Vious violated any securities laws?

A) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
B) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
C) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.
D) No. Advertising brochures are not securities.

2. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his administrative assistant. As part of her duties, he has given her the responsibility for effecting the purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file criminal and civil charges against him.
B) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
C) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face both civil and criminal penalties.
D) the Administrator is required to turn the case over to the state's district attorney, who will file criminal charges against both Joe Romeo and Betty Buxom.

3. The Uniform Securities Act (USA) is

A) a body of laws governing the purchase and sale of securities within a single state.
B) federal legislation that requires all states to adopt the same registration requirements for all.
C) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.
D) a set of guidelines for individual states to follow when formulating their own securities' laws.

4. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

A) I and II only
B) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.
C) I only
D) III only

5. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Friday, August 13th.
B) Monday, August 16th.
C) Wednesday, August 11th.
D) Tuesday, August 10th.

質問と回答：

質問 # 1
正解： B

質問 # 2
正解： C

質問 # 3
正解： D

質問 # 4
正解： D

質問 # 5
正解： C