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FINRA Series_63 試験シラバストピック:

セクション	比重	目標
トピック 1: 投資顧問業者および代表者の規制		- 投資顧問業者代表者（IAR） 1. IAR登録要件 2. 登録後の義務 - 投資顧問業者の登録 1. デ・ミニミス免除（僅少免除） 2. 州登録投資顧問業者と連邦登録投資顧問業者
トピック 2: ブローカー・ディーラーおよびエージェントの規制		- エージェントの行為および義務 1. 報酬および取引規則 2. 顧客とのコミュニケーション - ブローカー・ディーラーの定義および要件 1. BD登録基準 2. エージェント登録基準
トピック 3: 州証券法および関連規則	60%	- 管理官（Administrator）の権限 1. 停止命令および執行 2. 規則制定および調査 - 統一証券法（Uniform Securities Act）の原則 1. 有価証券の登録および免除 2. 州の管轄権および定義
トピック 4: 倫理的慣行および受託者責任	40%	- 証券業務における倫理 1. 受託者責任および利益相反 2. 詐欺防止規定 - 顧客関連規則 1. 顧客の資金および有価証券の取り扱い 2. 開示および適合性の原則

FINRA Uniform Securities Agent State Law Examination 認定 Series_63 試験問題：

問題 #1
Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A. No. It is unethical for him to trade based on this information before the firm's clients have received the
information.
B. Both B and C are true statements.
C. No. This is a prohibited activity referred to as "painting the tape."
D. Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.

問題 #2
Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the OTC Bulletin Board
C. a stock that is listed on the American Stock Exchange
D. a put option on a stock that sells in the over-the-counter market

問題 #3
Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?

A. Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies.
B. Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
C. No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.
D. No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.

問題 #4
An investment adviser or its representative may

A. exercise discretionary power in the purchase or sale of securities for a client's account only after
B. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
C. exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
D. exercise discretionary power in the purchase or sale of securities for a client's account as long as

問題 #5
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 will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
D. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.

解説：

問題 #1
正解： A

問題 #2
正解： B

問題 #3
正解： C

問題 #4
正解： C

問題 #5
正解： A