FINRA Series_63 : Uniform Securities Agent State Law Examination

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FINRA Uniform Securities Agent State Law Examination Series_63 Prüfungsfragen mit Lösungen:

1. A tombstone advertisement is

A) an offer to sell a new security that is being issued by an Arizona firm.
B) the only type of advertisement that an investment advisory firm is allowed to use.
C) the announcement of a new security that may become available for purchase.
D) an offer to sell a new security.

2. The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is

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

3. Which of the following statements regarding an open-end investment company is not true?

A) Its securities are federal covered.
B) Its shares may sell for either net asset value or greater than net asset value, but not below
C) Its shares are bought and sold on exchange floors.
D) Its shares are bought and sold through the company.

4. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?

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

5. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC)
can you legitimately make to your client?

A) "The SIPC is a government agency created by an Act of Congress to combat fraud."
B) "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."
C) The SIPC is the FDIC of the stock and bond markets."
D) "The SIPC is a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market."

Fragen und Antworten: