FINRA Series_63 : Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) II and IV only
B) I and III only
C) I and II only
D) All of the entities are subject to post-registration provisions.

2. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic
IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a
municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the
federal level, and some of it may even be tax-free at the state and local levels. Has Stu engaged in any
prohibited practices?

A) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended.
B) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not
allowed to make recommendations regarding investments to the firm's clients.
C) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
D) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity.

3. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
B) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.

4. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay for the stock on the settlement date.
B) sue CanDo for not getting him the best price of the day-or anything close to it.
C) do nothing about it.
D) refuse to pay CanDo commissions for the purchase.

5. Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of
becoming insolvent. One of his clients who has become like a mother to him is aware of his financial
difficulties and has offered to sell off some of the assets that he manages for her and loan him the money
to get him through this period of economic
uncertainty until he is able to get on his feet again. Can Joe take her up on her offer?

A) Both A and B are true.
B) Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going
market rates, stated in the agreement as well as a firm date for principal repayment.
C) Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept
it.
D) No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan
agreement with this client could lead to conflicts of interest.

Solutions: