최신FINRA Uniform Securities Agent State Law Examination - Series_63무료샘플문제
문제1
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,
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,
정답: A
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문제2
Which of the following is not considered to be a person, as defined by the Uniform Securities Act?
Which of the following is not considered to be a person, as defined by the Uniform Securities Act?
정답: D
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문제3
Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock
Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock
정답: C
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문제4
A margin transaction refers to a transaction
A margin transaction refers to a transaction
정답: B
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문제5
Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and
told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that
weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC
Bulletin Board. Noah did some research and felt the company was far too risky an investment for this
client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became
insolvent within six months of its IPO. Has Noah done anything wrong?
Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and
told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that
weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC
Bulletin Board. Noah did some research and felt the company was far too risky an investment for this
client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became
insolvent within six months of its IPO. Has Noah done anything wrong?
정답: C
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문제6
Blue Sky Laws are designed to:
Blue Sky Laws are designed to:
정답: D
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문제7
A broker-dealer is required to keep his records for how long?
A broker-dealer is required to keep his records for how long?
정답: D
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문제8
Which of the following orders can an Administrator issue without providing prior notice?
Which of the following orders can an Administrator issue without providing prior notice?
정답: A
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