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NO.1 Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of
directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs
clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?
A. Larry and Mary only
B. Larry, Mary and Curly
C. Larry only
D. Mary and Curly only
Answer: C
Series63 Outline
Explanation: As a director of the firm, Larry would automatically be registered as an investment
adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are
automatically registered as investment adviser representatives, Mary, as a sales representative,
would
have to apply for her own registration. Curly does not need to be registered since he performs only
clerical
duties.
NO.2 Trevor is currently a registered agent in the state of Connecticut where he has been employed
by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now
associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales
for
clients while his registration is still pending?
A. It depends. Trevor can execute some purchases and sales, but only for clients that he already had
who
may have recently relocated to Massachusetts and only for sixty days while his registration is
pending.
B. Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his
registration
is pending.
C. No. Until he is informed by the Administrator of Massachusetts that his application has been
accepted,
Trevor may not effect any securities transactions in Massachusetts.
D. Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that
is
registered in the state of Massachusetts, he is not restricted from executing trades.
Answer: A
Explanation: It depends. Because he is a registered agent in another state and the broker-dealer he is
now affiliated with is registered in the state of Massachusetts, Trevor can execute purchases and
sales,
but only for existing clients while his registration with the Massachusetts Administrator is still
pending and
only for sixty days. This assumes, of course, Trevor has no violations that would restrict him from
registering in Massachusetts.
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