Series63 無料問題集「FINRA Uniform Securities Agent State Law Examination」

（A）I or III only

（B）I only

（C）I or II only

（D）I, II or III

（A）the total return that the fund has earned over the most recent 12-month period.

（B）the return that the fund earned because of the capital appreciation of the securities in the fund.

（C）the return that the fund earned based only on the interest income it received

（D）the percentage increase in the fund's net asset value.

（A）It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with

（B）It depends. As long as the church parishioners are aware of the arrangement between Carrie and

（C）No. Carrie is just donating some of her commissions back to the church, and transactions with

（D）Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

（A）formulate rules and orders.

（B）issue subpoenas involving compulsory attendance.

（C）gather evidence.

（D）deliver a judicial injunction.

（A）CanDo can deny Mr. Teche permission to accept the adjunct teaching position.

（B）Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.

（C）As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.

（D）Both A and B are true.

（A）the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.

（B）the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.

（C）the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.

（D）the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.

（A）No. Advertising brochures are not securities.

（B）No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.

（C）Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.

（D）No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.

（A）BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.

（B）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.

（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.

（A）Ina can immediately file an appeal of the suspension in a court of law.

（B）Ina can sue the Administrator because she was not afforded a hearing before the suspension took place.

（C）Ina can make a written request that a hearing on the issue be scheduled within ten business days of her request and may continue working with clients while waiting for her day in court.

（D）Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of her request and may not continue working with clients unless the Administrator vacates the order until final determination.

（A）A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.

（B）A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.

（C）A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.

（D）A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.

（A）A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the fact that the fund has returned an average annual rate of return of 6% over the past ten years.

（B）Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform Securities Act.

（C）An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.

（D）The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year Treasury note.

（A）No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for.

（B）No. The Uniform Securities Act only involves securities laws and partnership interests are not.

（C）Yes. They can sue George for the return of their original investment, plus interest. George would also have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and suffering" on the parts of the clients.

（D）Yes. They can sue George for the return of their original investment, plus interest. George would.

（A）Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.

（B）In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.

（C）Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.

（D）Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.

（A）a margin transaction

（B）the sale of a mutual fund if the purchaser hasn't received a prospectus

（C）a market-not-held order

（D）a short sale

（A）No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.

（B）Yes. Agents are not permitted to include a picture of themselves on their business cards.

（C）Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.

（D）No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."