FINRA Series63 : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A broker-dealer cannot legally be

A) A broker-dealer can be any of the above.
B) a partnership.
C) a sole-proprietorship.
D) an individual.

2. In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.

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

3. Which of the following would be considered an "issuer" transaction?

A) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
B) Kim sells an AT&T bond she holds that still has three years remaining to maturity.
C) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
D) None of the above is an "issuer" transaction.

4. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) broker-dealer.
B) issuer.
C) none of the above.
D) agent.

5. The settlement date refers to

A) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
B) the date the buyer must pay for the securities purchased.
C) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
D) the date the order to purchase or sell the security is sent to the market.

Solutions: