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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state. Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick executes trades for them when they call him from out-of-state.
Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.

A. Statements II and III are true.
B. Only Statement I is true.
C. Only Statement IV is true.
D. Statements I and III are true.

Question 2

uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A. made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
B. committed fraud in indicating that bonds are less risky than stocks.
C. has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
D. advised Jack and Jill well with a conservative allocation of their money to preserve principal.

Question 3

Which of the following would not appear on a trade confirmation?

A. the commission
B. the settlement date
C. All of the above items appear on a trade confirmation.
D. the client's account number

Question 4

In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser has a column in which the publisher makes specific investment recommendations for clients who write in for advice.
About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

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

Question 5

Which of the following describes an investment adviser that is not required to register with the state Administrator?

A. Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
B. Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
C. MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
D. CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.

Solutions: