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. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as.
C) exercise discretionary power in the purchase or sale of securities for a client's account only after.
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary transaction placed, assuming oral authority has already been given.

2. Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.

A) I and III only
B) I only
C) II and III only
D) I, II, and III

3. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) is skilled if he is able to earn profits 95% of the time using this strategy.
C) is in violation of securities laws. Arbitrage is a prohibited activity.
D) engaged in a fraudulent activity.

4. Which of the following practices would be prohibited in connection with the sale of investment company shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment objective exists II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families III. encouraging a client to swap his money between two funds in the same family without informing him that this creates a taxable event

A) I and III only
B) II and III only
C) I and II only
D) I, II, and III

5. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is acting as a dealer?

A) BigFee Investment Bankers
B) Mr. Bigwig
C) HiGrowth Corporation
D) GetErDone Broker-Dealers

問題與答案：