FINRA Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
B) testimonials of satisfied clients
C) a free initial consultation, with no obligation on the part of the potential client
D) a free financial planning kit, with no obligation on the part of the potential client

2. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) The investment adviser may borrow money in either of the scenarios described in B or C.
B) It is never permissible for an investment adviser to borrow money from a client.
C) The investment adviser may borrow money from a client if the client is a bank.
D) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.

3. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) a credit union that operates within the state and provides loans to its members
C) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
D) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.

4. Which of the following is not a prohibited practice for a broker-dealer?

A) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
B) recommending a security to a new client without first ascertaining that client's level of risk tolerance
C) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
D) executing a trade for an account holder based on instructions from the account holder's spouse

5. Which of the following statements is false?

A) The minimum net capital requirement for investment advisers that take custody of their clients' assets
is higher than the net capital requirement for advisers who do not take custody of the assets.
B) None of the above statements is false; all are true statements.
C) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
D) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.

Solutions: