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最新的 FINRA Certification Series_63 免費考試真題:

1. Nat Smart was employed as an investment adviser representative and sold many of his clients on a
municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely
free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they
discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of
the bonds it held. Nat was as surprised as they were. Based on these facts, which of the following
statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

A) I only
B) II and III only
C) III only
D) II only

2. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and
told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that
weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC
Bulletin Board. Noah did some research and felt the company was far too risky an investment for this
client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became
insolvent within six months of its IPO. Has Noah done anything wrong?

A) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
B) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
C) Yes. Noah is guilty of misappropriation and could have his license revoked.
D) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.

3. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A) I and III only
B) I only
C) II and III only
D) None of the selections describe prohibited practices.

4. A "market not held" order is

A) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer.
B) an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price.
C) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price.
D) an order to buy or sell a stock at a specified price, which differs from the current market price.

5. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to
lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that
answers calls in the evenings and on the weekends when its offices are closed. The service informs the
caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an
investment adviser representative. Is this a violation of any securities laws?

A) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.
B) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
C) No. The firm's phones are manned 24/7, so it hasn't lied.
D) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser
representatives are not, in fact, available to him 24/7, then AllTime is in the clear.

問題與答案：