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FINRA Series_63 問題集

試験コード：Series_63

試験名称：Uniform Securities Agent State Law Examination

最近更新時間：2025-02-28

問題と解答：全255問

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質問 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. 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.
B. 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
C. an agent who executes the purchase and sale of stocks and bonds for his clients
D. a credit union that operates within the state and provides loans to its members
正解：A

質問 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 a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market."
B. The SIPC is the FDIC of the stock and bond markets."
C. "The SIPC is a government agency created by an Act of Congress to combat fraud."
D. "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 3：
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state has been revoked.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 has 45 days in which to file an appeal with the attorney general.
B. Sam has 60 days to file an appeal of the decision in a court of law.
C. Sam can move to another state and apply for registration as an investment adviser there.
D. Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 4：
You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay
A. the full annual fee, and your license will expire on September 30th next year.
B. one-fourth of the annual fee required since only one quarter of the year remains.
C. the full annual fee, and your license will expire on December 31st this year.
D. the full annual fee, and your license will expire on December 31st next year.
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 5：
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?
A. Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
B. Yes. Noah is guilty of misappropriation and could have his license revoked.
C. No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
D. Yes. Noah is guilty of not following a client's instructions and could have his license revoked.
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 6：
Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,
A. Finn has not violated any laws or engaged in any prohibited practices.
B. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
C. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
D. Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 7：
You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.
A. I and II only
B. I and III only
C. II and III only
D. I, II and III
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 8：
BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?
A. BigCash must file a new application with the state to register its new subsidiary, but will be able to
utilize the remainder of any annual filing fees that Target Investments had paid for the year.
B. BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.
C. BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.
D. BigCash must file a new application with the state to register its new subsidiary and must also pay the
annual filing fees required by the Administrator.
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 9：
Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk,
is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk
reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own
knowledge. Based on these facts, which of the following statements is true?
A. Erin must register as an investment adviser since she is providing investment advice.
B. Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.
C. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.
D. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice, and Erin must register as an investment adviser representative as the firm's
employee.
正解：B
解説: (Topexam メンバーにのみ表示されます)

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FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題:

1. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $6,000.
B) $6,200.
C) $5,900.
D) $5,200.

2. 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 the broker?

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

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

4. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A) borrowing money from a client
B) providing a client with a copy of their most recent balance sheet upon request
C) lending money to clients for them to invest
D) charging commissions that are significantly higher than those charged by other broker-dealers

5. Which of the following entities must sign a "consent to service of process," thereby allowing the
Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

質問と回答：

質問 # 1
正解： B

質問 # 2
正解： B

質問 # 3
正解： B

質問 # 4
正解： C

質問 # 5
正解： B

Series_63 関連試験: Series6 - Investment Company and Variable Contracts Products Representative Examination (IR); Series7 - General Securities Representative Examination (GS)

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