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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?

A) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.
B) All of the above describe prohibited practices.
C) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
D) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.

2. Which of the following would not appear on an order ticket?

A) the stock symbol
B) the settlement date
C) the account number of the client buying or selling the security
D) the agent's commission

3. 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) Mary and Curly only
B) Larry only
C) Larry, Mary and Curly
D) Larry and Mary only

4. A hypothecation agreement refers to

A) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
B) a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
C) an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.
D) an agreement that a client must sign prior to executing any short sales with the broker-dealer.

5. Which of the following funds can an agent indicate is "no load?"

A) Both A and C can be advertised as "no load" funds.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.
C) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.

Solutions: