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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
B) a $500,000 promissory note that matures in two years
C) a $25,000 promissory note that matures in three months
D) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors

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

A) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
B) recommending a security to a new client without first ascertaining that client's level of risk tolerance
C) executing a trade for an account holder based on instructions from the account holder's spouse
D) 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

3. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

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

5. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a deferred annuity
B) a high quality corporate bond fund
C) a Treasury Inflation Protected Security (TIPS)
D) an S&P 500 Index mutual fund

Solutions: