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：2025-09-11

問題と解答：全251問

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質問 1：
Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the purchases and receives the requisite signed discretionary authorization from the client before the settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on margin.
GetErDone has the client come into the office to sign a properly executed margin agreement prior to effecting the transaction.
A. I and III only
B. II and III only
C. III only
D. None of the selections are prohibited practices.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 2：
Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi
A. will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B. is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
C. is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
D. is in violation of NASAA rules regarding investment company shares.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 3：
Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
A. Larry and Mary only
B. Larry, Mary and Curly
C. Larry only
D. Mary and Curly only
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 4：
Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?
A. The act extended across state lines.
B. The perpetrator willfully committed the fraudulent act.
C. The victim(s) lost a combined total of at least $25,000 because of the act.
D. The Administrator decides to send the case to criminal court.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 5：
In which of the following instances is it permissible for an investment adviser to borrow money from a client?
A. It is never permissible for an investment adviser to borrow money from a client.
B. The investment adviser may borrow money from a client if the client is a bank.
C. The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
D. The investment adviser may borrow money in either of the scenarios described in B or C.
正解：B
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. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment adviser.
B) agent.
C) investment company.
D) broker-dealer.

2. Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm. She has decided that her firm needs a niche and has learned that a consulting group is coming to the area and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the niche she has been looking for and signs up herself and her three investment adviser representatives for the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A) represent themselves as certified senior citizen investment advisers.
B) do none of the above.
C) indicate that they are certified by the ARP program since money was paid for their attendance.
D) have the words "Senior-Citizen Investment Specialists" printed on their business cards.

3. Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A) It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.
B) Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
C) No. Ken is just a successful sales person who is working harder than the other agents in the firm.
D) Yes. Ken is guilty of the prohibited practice of "tailgating."

4. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a hypothecation agreement
B) a final prospectus
C) a preliminary prospectus
D) a margin agreement if the purchase is being made on margin

質問と回答：

質問 # 1
正解： A

質問 # 2
正解： B

質問 # 3
正解： B

質問 # 4
正解： A

質問 # 5
正解： B