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FINRA Series63 考試大綱主題:

最新的 Uniform Securities State Law Series63 免費考試真題：

1. Which of the following statements regarding an investment adviser representative who has an office in the state is true?

A) Regardless of whether the investment adviser is registered with the SEC or is registered with the state, all investment adviser representatives of the firm must be registered with the state if they have offices in the state.
B) If the investment adviser that the investment adviser representative is affiliated with is itself registered with the state, then the investment adviser representative does not need to apply for a separate registration, regardless of whether the investment adviser representative has an office in the state.
C) If an investment adviser representative is registered with the SEC, he or she need not obtain state registration, regardless of whether the investment adviser representative has an office in the state.
D) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its affiliated investment adviser representative needs to be registered with the state.

2. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
B) issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
C) securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.

3. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security that is being sold in an isolated non-issuer transaction.
B) An exempt security is one that need not be registered in the state in which it is sold.
C) An exempt security is any security being sold as a private placement.
D) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.

4. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) issuer.
B) broker-dealer.
C) agent.
D) none of the above.

5. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?

A) Yes, as long as your brother provides your firm with his written consent.
B) Yes. This is permitted since the agreement is between you and a family member.
C) Maybe. But it will require written consent from both your brother and your firm.

問題與答案：