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

Which of the following is not a method that can be used to register securities with the state?

A. registration by exception
B. registration by coordination
C. registration by notification
D. registration by qualification

Question 2

Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?

A. Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
B. Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
C. Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D. Mina should have notified SecureMoney in writing before signing on to work at the fitness club.

Question 3

An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?

A. Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."
B. Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
C. No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
D. No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."

Question 4

BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new subsidiary?

A. BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a new registration application.
B. BigCash must file a new application with the state to register its new subsidiary, but will be able to utilize the remainder of any annual filing fees that Target Investments had paid for the year.
C. BigCash must file a new application with the state to register its new subsidiary and must also pay the annual filing fees required by the Administrator.
D. BigCash need do nothing since Target Investments was already duly registered with the state as a broker-dealer.

Question 5

Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
B. Yes. Ken is guilty of the prohibited practice of "tailgating."
C. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
D. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.

Solutions: