最新なFINRA Series_63問題集（255題）、真実試験の問題を全部にカバー！

質問 1：
Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.
A. I and III only
B. I only
C. I and II only
D. I, II, and III
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 2：
The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact
A. before the beginning of the next quarter.
B. before the end of the month.
C. by the close of business on the next business day.
D. within a week's time.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 3：
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
A. II and III only
B. I and III only
C. I, II and III
D. I and II only
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 4：
Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?
A. An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request.
B. An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt.
C. An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt.
D. An investment adviser keeps a client's securities in its safety deposit box.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 5：
You are a newly licensed agent and are making cold calls to generate business. According to the
Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of
A. 8 a.m. and 7 p.m., based on the Pacific Time Zone.
B. 8 a.m. and 7 p.m., based on your prospective customer's time zone.
C. 8 a.m. and 9 p.m., based on your prospective customer's time zone.
D. 8 a.m. and 9 p.m., based on your time zone.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 6：
Which of the following is not a method that can be used to register securities with the state?
A. registration by qualification
B. registration by notification
C. registration by exception
D. registration by coordination
正解：C

質問 7：
Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?
A. Maddie has the sole responsibility for notifying the Administrator.
B. It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
C. Both QuikDeals and Maddie are responsible for notifying the Administrator.
D. QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.
正解：C
解説: (Pass4Test メンバーにのみ表示されます)

質問 8：
Which of the following funds can an agent indicate is "no load?"
A. Both A and C can be advertised as "no load" funds.
B. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
C. a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
D. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
正解：D
解説: (Pass4Test メンバーにのみ表示されます)

質問 9：
A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can
A. refuse to pay CanDo commissions for the purchase.
B. do nothing about it.
C. sue CanDo for not getting him the best price of the day-or anything close to it.
D. refuse to pay for the stock on the settlement date.
正解：B
解説: (Pass4Test メンバーにのみ表示されます)