最優質的 Uniform Securities Agent State Law Examination - Series63 考古題

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

1. The trade confirmation must be received by the customer no later than

A) one week after the settlement date.
B) the day after the trade takes place.
C) five business days after the settlement date.
D) the settlement date.

2. Which of the following may be given to prospective investors during the "cooling off period?"

A) all of the above
B) a copy of the registration statement
C) a final prospectus
D) a tombstone advertisement

3. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This would be considered money laundering, which is highly illegal.
B) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
C) No. This is a prohibited practice known as front running.
D) No. This is a prohibited practice known as selling away.

4. Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has been filed against a software manufacturer for monopolistic practices. The CFO of the company called his broker today and sold some of the shares he owns in the company.
Which of the following statements are true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent has knowingly executed this illegal insider trade for not having supervised the agent properly.

A) I only
B) None of the statements is true.
C) I and II only
D) I, II, and III

5. If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person

A) is considered to have a revoked license until the courts rule otherwise.
B) can continue business as usual pending the resolution of the appeal.
C) must notify the Administrator of the state that it has appealed the decision.
D) Both B and C are true statements.

問題與答案：