FINRA Series_63 考試概覽:

認證廠商:	FINRA
考試名稱:	FINRA Series 63 統一證券代理人州法考試
考試代碼:	Series 63
及格分數:	72%
考試形式:	選擇題
考試時間:	75 minutes
相關認證:	Series 6 Series 7 Series 65 Series 66
支援語言:	英文
證照有效期限:	視各州註冊要求而定；通常只要州註冊保持有效狀態即持續有效
考試費用:	USD 147
實際考試題數:	60 題計分題（可能包含不計分的預測試題）
推薦課程:	Securities Training Corporation (STC) Series 63 課程 Kaplan Financial Education Series 63 備考課程
考試報名:	FINRA 考試註冊
範例考題:	FINRA Series_63 範例考題
考試方式:	在 Prometric 測試中心及授權的線上監考地點進行的電腦化考試
必備條件:	無正式先決條件；通常根據職責要求，與 Series 6 或 Series 7 同時或在其之後進行考試
官方大綱網址:	https://www.finra.org/registration-exams-ce/qualification-exams/series63

FINRA Series_63 考試大綱主題:

章節	目標
註冊程序與要求	- 州通知備案與更新 - 代理人與經紀自營商的註冊流程
監管條款與合規	- 道德規範與受託義務 - 執法行動與處罰 - 記錄保存與行政條款
州證券法及相關規則	- 證券、經紀自營商、代理人及投資顧問的註冊 - 《統一證券法》下的定義與術語 - 豁免證券與豁免交易

最新的 FINRA Certification Series_63 免費考試真題：

1. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
D) All of the above describe prohibited practices.

2. Which of the following does not need to be included in an investment advisory contract?

A) the advisory fees and the formula used to compute them
B) a statement that the contract cannot be assigned to another party without the client's consent
C) the term of the contract
D) the total amount of money that the investment adviser currently has under management

3. Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal
charge for any specific investment advice given.

A) II and III only.
B) II, III and IV only.
C) I, II, and III only.
D) I, II, III, or IV.

4. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional
football team as clients. In advertising his services, Big Bo can

A) use testimonials from any of the players who willingly provide them without compensation.
B) list the names of the players he's advising as long as he lists the names of all his other clients, too.
C) list the names of the players he's advising as long as he has their written permission to do so.
D) list the names of the players he's advising as long as he doesn't provide any other specifics, such as
the amount each one has invested with him.

5. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?

A) a broker-dealer that is registered with the state
B) a bank that is insured by a private, state-sponsored insurance company
C) a savings institution that is insured by the FDIC
D) a foreign financial institution

問題與答案：

問題 #1
答案： B

問題 #2
答案： D

問題 #3
答案： A

問題 #4
答案： C

問題 #5
答案： B