Series_63の無料問題集（255題）、Series

FINRA Series_63 問題集

試験コード：Series_63

試験名称：Uniform Securities Agent State Law Examination

最近更新時間：2025-09-23

問題と解答：全255問

Series_63 無料でデモをダウンロード：

PDF版 Demo ソフト版 Demo オンライン版 Demo

無料問題集Series_63 資格取得

質問 1：
Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state.
Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick
executes trades for them when they call him from out-of-state. Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.
A. Statements I and III are true.
B. Only Statement I is true.
C. Statements II and III are true.
D. Only Statement IV is true.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 2：
What criminal penalties are specified for "willful violations" of the Uniform Securities Act?
A. license suspension.
B. up to 5 years in prison or a $10,000 fine, or both.
C. license cancellation.
D. up to 3 years in prison or a $5,000 fine, or both.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 3：
Which of the following funds can an agent indicate is "no load?"
A. a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
C. Both A and C can be advertised as "no load" funds.
D. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 4：
Which of the following statements regarding an open-end investment company is not true?
A. Its shares are bought and sold on exchange floors.
B. Its securities are federal covered.
C. Its shares are bought and sold through the company.
D. Its shares may sell for either net asset value or greater than net asset value, but not below
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Which of the following laws deals with identity theft protection?
A. Regulation S-P
B. the Bank Secrecy Act (BSA)
C. ERISA
D. the USA Patriot Act
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 6：
Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?
A. 60 days.
B. 90 days.
C. one year.
D. 30 days.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 7：
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.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 8：
Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.
A. I and II only
B. I and III only
C. I only
D. I, II, and III
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 9：
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?
A. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
C. up to 3 years in prison, a $5,000 fine, or both
D. up to 5 years in prison and a fine of $1,500,000 or both
正解：A
解説: (Topexam メンバーにのみ表示されます)

TopExamは君にSeries_63の問題集を提供して、あなたの試験への復習にヘルプを提供して、君に難しい専門知識を楽に勉強させます。TopExamは君の試験への合格を期待しています。

安全的な支払方式を利用しています

Credit Cardは今まで全世界の一番安全の支払方式です。少数の手続きの費用かかる必要がありますとはいえ、保障があります。お客様の利益を保障するために、弊社のSeries_63問題集は全部Credit Cardで支払われることができます。

領収書について：社名入りの領収書が必要な場合、メールで社名に記入していただき送信してください。弊社はPDF版の領収書を提供いたします。

弊社は失敗したら全額で返金することを承諾します

我々は弊社のSeries_63問題集に自信を持っていますから、試験に失敗したら返金する承諾をします。我々のFINRA Series_63を利用して君は試験に合格できると信じています。もし試験に失敗したら、我々は君の支払ったお金を君に全額で返して、君の試験の失敗する経済損失を減少します。

弊社のFINRA Series_63を利用すれば試験に合格できます

弊社のFINRA Series_63は専門家たちが長年の経験を通して最新のシラバスに従って研究し出した勉強資料です。弊社はSeries_63問題集の質問と答えが間違いないのを保証いたします。

この問題集は過去のデータから分析して作成されて、カバー率が高くて、受験者としてのあなたを助けて時間とお金を節約して試験に合格する通過率を高めます。我々の問題集は的中率が高くて、100％の合格率を保証します。我々の高質量のFINRA Series_63を利用すれば、君は一回で試験に合格できます。

弊社は無料FINRA Series_63サンプルを提供します

お客様は問題集を購入する時、問題集の質量を心配するかもしれませんが、我々はこのことを解決するために、お客様に無料Series_63サンプルを提供いたします。そうすると、お客様は購入する前にサンプルをダウンロードしてやってみることができます。君はこのSeries_63問題集は自分に適するかどうか判断して購入を決めることができます。

Series_63試験ツール：あなたの訓練に便利をもたらすために、あなたは自分のペースによって複数のパソコンで設置できます。

一年間の無料更新サービスを提供します

君が弊社のFINRA Series_63をご購入になってから、我々の承諾する一年間の更新サービスが無料で得られています。弊社の専門家たちは毎日更新状態を検査していますから、この一年間、更新されたら、弊社は更新されたFINRA Series_63をお客様のメールアドレスにお送りいたします。だから、お客様はいつもタイムリーに更新の通知を受けることができます。我々は購入した一年間でお客様がずっと最新版のFINRA Series_63を持っていることを保証します。

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

1. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,

A) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.
B) Needy is in violation of securities laws by acting as an issuer of securities.
C) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
D) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.

2. Which of the following is an example of commingling?

A) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
B) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
C) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
D) All of the above are examples of commingling.

3. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?

A) BigCash must file a new application with the state to register its new subsidiary, but will be able to
utilize the remainder of any annual filing fees that Target Investments had paid for the year.
B) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.
C) BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.
D) BigCash must file a new application with the state to register its new subsidiary and must also pay the
annual filing fees required by the Administrator.

4. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?

A) Neither the notes nor the individuals selling the notes need to be registered with the state.
B) The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state.
C) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both.
D) The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered.

5. 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

質問と回答：

質問 # 1
正解： B

質問 # 2
正解： A

質問 # 3
正解： A

質問 # 4
正解： B

質問 # 5
正解： C