FINRA Series63 시험 개요:
| 인증 벤더: | FINRA |
| 시험명: | 주식 중개인 주 법률 자격 시험 |
| 시험 번호: | Series 63 |
| 실제 시험 문항 수: | 채점 대상 객관식 60문항 |
| 응시료: | 147달러 |
| 지원 언어: | 영어 |
| 관련 자격증: | Series 6 Series 7 Series 66 |
| 시험 시간: | 75 minutes |
| 자격증 유효 기간: | 무기한 (주별 등록 및 규제 요건 충족 시) |
| 시험 형식: | 객관식, 컴퓨터 기반 시험 |
| 합격 점수: | 72% (총 60문항 중 43문항 정답) |
| 권장 교육: | Kaplan Financial Education - Series 63 Securities Training Corporation (STC) - Series 63 |
| 시험 등록: | FINRA Series 63 시험 등록 |
| 샘플 문제: | FINRA Series63 샘플 문제 |
| 응시 방법: | 공인 시험 센터(Prometric)에서 감독 하에 진행되는 컴퓨터 기반 시험 |
| 전제 조건: | 별도의 정식 응시 자격 요건은 없으나, 주별 자격 등록을 위해 일반적으로 Series 6 또는 Series 7 시험과 함께 응시하거나 해당 시험 합격 후 응시합니다 |
| 공식 요강 URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 시험 요강 주제:
| 섹션 | 목표 |
|---|---|
| 주제 1: 윤리적 업무 관행 및 수탁자로서의 책임 | - 정보 공개 의무 및 고객 보호 - 금지된 업무 행위 및 부정행위 예방 |
| 주제 2: 행정 규정 및 집행 절차 | - 기록 유지 및 보고 의무 - 주 정부의 규제 집행 권한 및 제재 |
| 주제 3: 주 증권 관련 법률 및 규정 | - 증권 등록 및 면제 규정 - 통일증권법(USA) 체계 |
| 주제 4: 투자자문사 및 중개인에 대한 규제 | - 증권회사에 대한 규제 및 감독 - 중개인 등록 요건 |
최신 Uniform Securities State Law Series63 무료샘플문제
1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be
A) Tuesday, September 28th.
B) Thursday, September 23rd.
C) Friday, September 24th.
D) Monday, September 27th.
2. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.
A) I and II only
B) I, II, III, and IV
C) II, III, and IV only
D) II and III only
3. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,
A) Needy is in violation of securities laws by acting as an issuer of securities.
B) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
C) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been properly executed via a promissory note.
D) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client and submitted to the administrator.
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 the issuer?
A) GetErDone Broker-Dealers
B) BigFee Investment Bankers
C) Mr. Bigwig
D) HiGrowth Corporation
5. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.
A) I only
B) I and III only
C) I and II only
D) All the choices describe prohibited practices in the sale of shares of investment companies.
질문과 대답:
| 질문 # 1 정답: A | 질문 # 2 정답: C | 질문 # 3 정답: A | 질문 # 4 정답: D | 질문 # 5 정답: C |
1298 개 고객 리뷰
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