Series_63 무료 덤프문제 온라인 액세스

If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?

• A.five years
• B.seven years
• C.two years
• D.one year

Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

• A.He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
  was her mistake.
• B.He needs to forward the check to the mutual fund within 24 hours.
• C.He needs to forward the check to the mutual fund within 3 days.
• D.He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.

For how long after the effective date is a security's registration valid?

• A.three months
• B.two years
• C.one year
• D.six months

What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

• A.up to 5 years in prison or a $10,000 fine, or both.
• B.up to 3 years in prison or a $5,000 fine, or both.
• C.license suspension.
• D.license cancellation.

Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

• A.Saturday, September 18th.
• B.Thursday, September 16th.
• C.Monday, September 20th.
• D.Friday, September 17th.