FINRA Uniform Securities Agent State Law Examination - Series_63

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

1. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?

A) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
B) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.
D) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.

2. 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,

A) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is an unsolicited transaction.
B) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is a private placement.
C) Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker
are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in
the state of Massachusetts.
D) Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and
negotiate a finder's fee for referring Mr. Moneybags to them.

3. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?

A) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.
B) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
C) Both A and B are true.
D) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.

4. Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state.
Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick
executes trades for them when they call him from out-of-state. Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.

A) Only Statement I is true.
B) Statements II and III are true.
C) Statements I and III are true.
D) Only Statement IV is true.

5. Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.
B) The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.
C) The client agrees to pay the investment adviser an hourly fee of $60.00.
D) All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.

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