FINRA Certification Series_63

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1、不需要大量的時間金錢，僅需20-30個小時，自學成才，輕鬆通過FINRA Series_63考試。
2、FINRA Series_63的考試軟體是類似實際考題研究出來的測試軟體。
3、根據FINRA Series_63的考試科目不斷的變化，採取不斷的更新，會提供最新的考試內容。
4、在互聯網上提供24小時客戶服務。
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7、FINRA Series_63認證是個證明自已潛力的認證，通過認證了的往往比沒有通過認證的同行工資高很多。

消費保證

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提供一年的免費更新服務

現在購買我們的產品，我們將會為你提供一年的免費升級服務，保證你順利通過認證考試。如果有任何更新版本，在一年內你可以無限次數的下載我們的產品。

FINRA Series_63 考試大綱主題:

最新的 FINRA Certification Series_63 免費考試真題：

1. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
D) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.

2. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?

A) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on
its clients' accounts.
B) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation
from broker-dealers with which it has a relationship, such as research or custodial services, other forms of
soft dollar compensation, including the payment of overhead expenses,are prohibited.
C) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which
it has a relationship as long as they disclose this to their clients.
D) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.

3. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
C) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
D) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.

4. Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A) Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
B) It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
C) Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
D) No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.

5. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.
B) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.
C) Gazillions only has to answer to the state in which the complaint was filed.
D) Gazillions has to answer to both the SEC and the state in which the complaint was filed.

問題與答案：