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試験に合格するには数ヵ月ないし数年かかることもありますが、弊社のSeries63Uniform Securities Agent State Law Examination試験問題集で試験に簡単に合格するには、20時間または30時間しかかかりません。今には、我々のSeries63本当の質問の指導の下で、あなたは自分でそのように体験することができます。机の前に座って全日に来る試験の準備をしなくて、あなたは暇のときに、我々のSeries63最新問題集をスキャンして本当の試験にテストされるキーポイントを把握できます。その結果、同じ難易度の質問になると、我々のSeries63 Uniform Securities Agent State Law Examination練習資料を使用しない他の人が費やした合計時間の四分の一が必要になることがあります。

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FINRA Uniform Securities Agent State Law Examination 認定 Series63 試験問題:

1. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a law firm that is organized as a partnership
B) a 16-year old cheerleader
C) a school district
D) a corporation

2. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
B) committed fraud in indicating that bonds are less risky than stocks.
C) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
D) advised Jack and Jill well with a conservative allocation of their money to preserve principal.

3. George Geek is a computer programmer who tired of working for others and started his own company. He convinced forty investors that he could design software that would rival Microsoft, and sold them each a 10% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates himself.
George told the investors that he had a product that was on the verge of being marketable and that when it did-within the next two months-revenues would pour into the company, and he would begin paying dividends.
He told them they could expect a 20% return on their money this year, with even higher returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was, and he wasn't able to get all the bugs out of the program to make it marketable within the promised two months.
Within a year, George had tired of the project and was too busy picking up chicks in his new Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach mansion-and picking up chicks.
His activities, of course, were financed by the extremely generous "salary" he paid himself from the investors' monies.
Under the Uniform Securities Act, do the investors have any civil claims against George?

A) No. The Uniform Securities Act only involves securities laws and partnership interests are not.
B) No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for.
C) Yes. They can sue George for the return of their original investment, plus interest. George would.
D) 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.

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

5. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state. One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving partners.
Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

質問と回答：