FINRA Uniform Securities Agent State Law Examination : Series63

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1
Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A. for twelve months.
B. for three years.
C. for five years.
D. until December 31st.

Question #2
A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?

A. A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.
B. A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
C. A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
D. A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.

Question #3
Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A. Mr. Bigwig
B. BigFee Investment Bankers
C. HiGrowth Corporation
D. GetErDone Broker-Dealers

Question #4
Which of the following statements about agents is (are) false?

A. All of the above are false statements.
B. If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
C. An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
D. When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.

Question #5
Which of the following may an investment adviser not use in an attempt to solicit new clients?

A. a free initial consultation, with no obligation on the part of the potential client
B. testimonials of satisfied clients
C. a free financial planning kit, with no obligation on the part of the potential client
D. a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance

Solutions: