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Limited registration is available to broker/dealers and agents domiciled in which of the following countries? a)Canada b)Mexico c)Canada and Mexico d)Canada, Mexico and Panama Canadian broker/dealers have limited registration requirement for the sale of Canadian qualified retirement progr...

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  • 5 de septiembre de 2024
  • 58
  • 2024/2025
  • Examen
  • Preguntas y respuestas

Temas

  • limited registration is available to brokerdeale

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Series 63 || with 100% Error-free Solutions.
Limited registration is available to broker/dealers and agents domiciled in which of the following
countries?

a)Canada
b)Mexico
c)Canada and Mexico
d)Canada, Mexico and Panama

Canadian broker/dealers have limited registration requirement for the sale of Canadian qualified
retirement programs. correct answers a)Canada

Canadian broker/dealers have limited registration requirement for the sale of Canadian qualified
retirement programs.

discretionary account means that correct answers

if you are brokering something out correct answers you must disclsoe

Investment advisory brochure correct answers 1. must be furnished prior to execution of written
contract
2. may be used in lieu of Part 2 Form ADV if it is current and provides disclusires

when is an invesstment adviser representative effective? correct answers only during
employment with an adviser

What is a markup? correct answers A markup is the firm's compensation in the trade

Which of the following isnot exempt from state registration as a broker/dealer?

banks, agents, issuers
BD with no office in the state whose customers are institutional investors
BD located within the state but whose customers areinstitutional investors
all of the above are exempt correct answers C

ADV Part 2B correct answers provides informaiton to clients about the investment adviser
representative

investment advisors representative effective.... correct answers only during employment with an
advisor

performance based fees apply to... correct answers people with 1mil invested or a 2mil net worth

If a firm's capital falls below the threshhold they must,,,, correct answers inform administrator
with of the deficiency by end of business on wednesday

,file a report with the administrator by end of business on thursday

exempt from registration requirements.... correct answers anyone who represenets an issuer

Soft dollars correct answers only spent on items which directly benefit customers and not on
things that benefit the advisor.

Not defined as an agent.... correct answers person that represents an issuer in the sale of exempt
securities, or a person who only transacts business with underwriters or financial institutions

equipment trust certificates... who is the issuer?? correct answers the person who owns the
equipment

Howey Test correct answers Determines when an investment is a security

administrator can revoke a hearing as long as a hearing is set within how many days of a written
request correct answers 15 days

which of the following is not an exempt security under USA

over the counter stock
at&t stock
security issued by prudential life
bond issued by Reading Railroad correct answers over the counter stock

stock traded over the counter must be registered

Which of the following are considered securities under the USA

real estate investment trust
credit union share certificate
investment contract
certificate of interest in real estate condominium correct answers All of the above

Allows companies to sell securities to accredited investors?

Reg a
Reg c
Reg d
Rule 147 correct answers Reg d

Defined as federally covered securities... correct answers securities issued by investmenet
companies registered uner 1940

municipal securities sold outside the state of issue

,securities listed on the NYSE

Which administrator has jurisdiction over a violation

the state where the cusomer resides
the state where the agents office is
the state where the transaction occured, regardless of where the customer or agent resides correct
answers Last one

An offer to sell a security was made by California and viewed in Arizona. This falls under whose
jurisdiction?

California
Arizona
Both
Neither correct answers California

the ad provisions fall under the state where it originated from

a cease and desist can be given without giving opportunity for hearing if

admin determines that person has or is about to commit a violation
when court injunction or restraining order was violated
never and a hearing must always be provided
only if there was fraud or felony correct answers admin determines that person has or is about to
commit a crime

admin has authority to do all of the following except

suspend reg if it is in the publics interest
issue cease and desist order to stop sale of advisory services if another federal agency issued one
too
subpoena persons for investigations
seek injunciton against persons violating the acts correct answers suspend reg is it is in the
publics interest

Which of the following is NOT true about federal covered advisers?

a)They may have to pay a state filing fee.
b)They are registered with the SEC.
c)They are required to register with the state.
d)They manage assets over $100 million. correct answers c)They are required to register with the
state.

, Federal covered advisers (those managing assets of $100 million or more) are not required to
register with the state; however, certain filing requirements may apply.

Minimum net worth may be required for registration of

a)Broker/dealers and investment advisers.
b)Broker/dealers and agents only.
c)Investment advisers only.
d)Investment adviser reps only. correct answers a)Broker/dealers and investment advisers.

Which process allows for simultaneous registration of a security under federal and state
requirements?

a)Notification
b)Qualification
c)Coordination
d)Filing correct answers c)Coordination

The Administrator is empowered to deny, suspend, or revoke any registration or registration
statement I. If it is deemed to be in the public's best interest. II. Only in cases involving criminal
liability, such as fraud or other felony offenses. III. If there is just cause in accordance with the
Uniform Securities Act. IV. There is suspicion of wrongdoing.

a)I and II
b)I and III
c)II and IV
d)III and IV correct answers b)I and III

if its in the publics best interest and makes sense under USA

According to the Uniform Securities Act, the registration of an agent

a)Expires every two years on the anniversary effective date.
b)Expires December 31st of each year.
c)Is only good for one year after the effective date, unless renewed.
d)Is continuously in effect unless revoked or suspended. correct answers b)Expires December
31st of each year.

Which statement concerning an agent with multiple registrations is NOT true?

a)Both broker/dealers must agree to the dual registration.
b)Some states allow multiple registrations when the firms are under common control.
c)An agent may be employed by two broker/dealers only if they are located in separate states.
d)The agent must submit separate registrations through each employing broker/dealer. correct
answers c)An agent may be employed by two broker/dealers only if they are located in separate
states.

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