FINRA Series_63 : Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires
broker-dealers to obtain and keep certain information relating to clients that make or receive funds
transfers that involve

A) $5,000 or more.
B) $100,000 or more.
C) $10,000 or more.
D) $3,000 or more.

2. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Both QuikDeals and Maddie are responsible for notifying the Administrator.
B) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
C) Maddie has the sole responsibility for notifying the Administrator.
D) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.

3. An investment adviser may not

A) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
D) also be registered as a broker-dealer in the state.

4. Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they
are 50 and have arranged a meeting with a representative of Professional Investment Advisers to
structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize
the risk of loss on the way to their goal. Mr. Hill has

A) advised Jack and Jill well with a conservative allocation of their money to preserve principal.
B) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they
turn 50, regardless of their investment strategy.
C) committed fraud in indicating that bonds are less risky than stocks.
D) made an unsuitable recommendation for these clients and is subject to license suspension or
revocation.

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

Solutions: