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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an investment adviser representative who works for Haskell Investment Advisers, to get advice on how they can better structure their investments to meet their retirement goals. Their son, Theodore, who has recently graduated college and has a great job as a software writer for a video game company, accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr. Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among the same ten funds.
Has Mr. Eddie done anything wrong?

A. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
B. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
C. Yes. Clients who are ready to retire have different investment needs than a client who is just entering the work force. The recommendation that both Theodore and his parents have the same asset allocation is clearly unsuitable.
D. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better investments.

Question 2

A margin transaction refers to a transaction

A. in which a registered agent makes trades on a customer's account without that customer's knowledge.
B. Both A and C are true statements.
C. in which the client borrows some of the money that he is investing.
D. that is illegal under the guidelines of the Uniform Securities Act.

Question 3

An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A. $6,200.
B. $6,000.
C. $5,900.
D. $5,200.

Question 4

Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?

A. Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
B. Nancy can sell the stock without a problem as executrix of her aunt's estate.
C. Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
D. Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.

Question 5

In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A. 5 years.
B. 10 years.
C. 2 years.
D. 1 year.

Solutions: