FINRA Uniform Securities State Law Series63

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FINRA Series63 「Uniform Securities Agent State Law Examination」はFINRA資格認定の重要な試験集です。該当アイクオリサートロジックSeries63模擬試験集は非常に理想的な試験に備えるツールと言えます。もし、Series63模擬試験を御利用頂くと、以前の過去試験問題とほぼ同じの現行問題をご体験できます。全部の問題集は弊社の専業認証人員が念入りに編纂されたものです。ご受験者は高額教育活動にわざわざ参加する必要がなく、ただ20時間か30時間の気楽な一連の準備、勉強記憶及び模擬テストだけで、受験できます。100％一発合格！失敗一回なら、全額返金！

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1、100％の本格的なSeries63試験問題集は過去の試験問題及び最新模擬試験問題から作られたものです。
2、業界最先端のSeries63模擬試験ｿﾌﾄは実際の試験雰囲気を模擬したものです。
3、Series63試験科目は常時最新化され、最新の試験内容まで織込まれた精確性が有ります。
4、高価な講座を受ける必要はなく、20～30時間の独学だけで、一発合格が可能です！
5、Series63 Exhibits、Drag & Drop、Simulationには実際に行われた試験の様式を全て含めております。
6、Series63試験科目を一度お買い上げ頂ければ、一年間無料で問題集をアップデートするサービスが付きます。
7、毎日２４時間インタネット上でSeries63技術サービス（無料）を提供致します。

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

1. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing unethical if his recommendation is based on the fact that

A) the Alpha Fund has been performing poorly relative to other funds in the same category.
B) the Alpha Fund has a back-end load.
C) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy shares of another fund that has the same investment objective.
D) the Omega Fund has a front-end load.

2. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

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

3. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
B) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
C) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
D) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.

4. In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P 500 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P 500 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced the client for the bonus.
Has MoeMoney violated any securities laws?

A) Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package according to the Uniform Securities Act.
B) No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its agreement with YourMoney.
C) Yes. An investment adviser's compensation cannot be based on the capital appreciation of the portfolio.
D) Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio it manages loses money.

5. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

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