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最新的 FINRA Certification Series_63 免費考試真題:

1. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
C) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
D) a credit union that operates within the state and provides loans to its members

2. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
B) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
C) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
D) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.

3. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
B) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
C) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.
D) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.

4. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
B) Sam has 60 days to file an appeal of the decision in a court of law.
C) Sam has 45 days in which to file an appeal with the attorney general.
D) Sam can move to another state and apply for registration as an investment adviser there.

5. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective

A) for two full years.
B) for one full year.
C) until December 31st of the same year
D) until the maturity date on the bond.

問題與答案：