FINRA Uniform Securities Agent State Law Examination : Series_63

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FINRA Series_63 Prüfungsthemen:

FINRA Uniform Securities Agent State Law Examination Series_63 Prüfungsfragen mit Lösungen

1. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?

A) up to 5 years in prison and a fine of $1,500,000 or both
B) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
C) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
D) up to 3 years in prison, a $5,000 fine, or both

2. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the
games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on
Craig's List. Do these "packages" meet the definition of securities, and, if so, does Kevin need to register
them with the state before offering them for sale?

A) Only if Kevin will be selling the packages at or below cost are the packages not considered to be
securities, in which case Kevin will not have to register them with the state.
B) The packages are not considered to be securities since each package is merely a purchase and sale
agreement between Kevin and another person. There is no third party involved. Because they do not
meet the definition of securities, Kevin does not need to register them with the state.
C) Statements A and B are both true statements.
D) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but
since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)

3. 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) 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.
B) Erin must register as an investment adviser since she is providing investment advice.
C) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.

4. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the
asset allocations of their portfolios. Jack Bean is

A) an agent.
B) an investment adviser.
C) an administrative assistant.
D) an investment adviser representative.

5. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able
to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of
its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them.
BondsRUs is guilty of

A) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is
unwarranted.
B) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are
willing to pay.
C) both B and C.
D) fraud.

Fragen und Antworten: