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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can

A) list the names of the players he's advising as long as he has their written permission to do so.
B) use testimonials from any of the players who willingly provide them without compensation.
C) list the names of the players he's advising as long as he lists the names of all his other clients, too.
D) list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.

2. Which of the following securities would not necessarily be exempt from state registration?

A) a bond guaranteed by the Canadian government
B) a bond issued by another state's employees' credit union
C) a stock listed on the Tokyo Stock Exchange
D) a stock listed as a NASDAQ National Market Issue.

3. Which of the following entities must sign a "consent to service of process," thereby allowing the Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

4. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
B) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.
C) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
D) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.

5. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers in that

A) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas a broker-dealer must require that written authority for the transaction is provided before the transaction even takes place.
B) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas an investment adviser must require that written authority for the transaction is in the mail before proceeding with the transaction.
C) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas a broker-dealer must require that written authority for the transaction is in the mail before proceeding with the transaction.
D) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas an investment adviser must require that written authority for the transaction is provided before the transaction even takes place.

Solutions: