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. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
D) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.

2. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) The SIPC is the FDIC of the stock and bond markets."
B) "The SIPC is a government agency created by an Act of Congress to combat fraud."
C) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
D) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."

3. 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.

4. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
C) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.
D) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.

5. Which of the following laws deals with identity theft protection?

A) ERISA
B) Regulation S-P
C) the USA Patriot Act
D) the Bank Secrecy Act (BSA)

問題與答案：