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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes an investment adviser that is not required to register with the state Administrator?

A) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.
B) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
C) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
D) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.

2. John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family of load funds that it encourages its representatives to promote. Representatives of the firm that sell shares in these funds to their clients receive a greater share of the load than they do if they sell load funds offered by other firms.
Based on these facts, which of the following statements is true?

A) If, after reviewing the information form a client has filled out, John believes that one of Load's funds is an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure requirement necessary if the recommendation is a sound one that can be proved to be based on the client's specific situation.
B) Both A and B are true.
C) John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them and has a fiduciary responsibility to them.
D) John must provide his clients with a written disclosure that he will receive a greater remuneration for selling shares in the Load family of funds than if he sells them shares in other funds before he provides his clients with any investment advice.

3. An investment adviser
I. provides investment advice to clients.
II. sells securities to clients.
III. buys and sells securities in their clients' accounts for the clients.

A) I and III only.
B) I only.
C) I and II only.
D) I, II, and III.

4. Which of the following would not appear on a trade confirmation?

A) the commission
B) All of the above items appear on a trade confirmation.
C) the settlement date
D) the client's account number

5. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
B) issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
C) federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.

Solutions: