최신 Series63 무료덤프 - FINRA Uniform Securities Agent State Law Examination

Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

정답: A
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

정답: B
설명: (DumpTOP 회원만 볼 수 있음)
Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the Administrator?

정답: B
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following statements best explains the difference between an agent and a broker-dealer?

정답: A
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following is not one of the criteria for a security to be eligible for registration by notification?

정답: C
설명: (DumpTOP 회원만 볼 수 있음)
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses

정답: A
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of each quarter.

정답: A
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this, Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

정답: A
설명: (DumpTOP 회원만 볼 수 있음)
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.

정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following would a firm not be expected to provide to the Administrator when registering an issue of securities with the state?

정답: C
설명: (DumpTOP 회원만 볼 수 있음)
You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should

정답: B
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

정답: C
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?

정답: B
설명: (DumpTOP 회원만 볼 수 있음)
While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer, discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast Eddie nor his broker-dealer are registered to do business in either of those states. Under these circumstances,

정답: D
설명: (DumpTOP 회원만 볼 수 있음)
No: 167
A "market not held" order is

정답: D
설명: (DumpTOP 회원만 볼 수 있음)
Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

정답: D
설명: (DumpTOP 회원만 볼 수 있음)
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?

정답: C
설명: (DumpTOP 회원만 볼 수 있음)

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