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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?

A) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
B) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
C) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
D) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.

2. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a conversation by some of the firm's executives that indicated that VideoMagic was about to take over another software company.
Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic, and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average, the stock price of target firms increases.

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

3. Which of the following laws deals with identity theft protection?

A) ERISA
B) Regulation S-P
C) the USA Patriot Act
D) the Bank Secrecy Act (BSA)

4. Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A) An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.
B) An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
C) An investment adviser keeps a client's securities in its safety deposit box.
D) An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.

5. Which of the following statements regarding the registration of broker-dealers and investment advisers is true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
B) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.
C) Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.

Solutions: