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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades per month for a specified fee. Another, slightly more expensive, plan provides the client with the same maximum number of trades per month, but the client also receives a personalized quarterly review of his portfolio along with advice for restructuring his portfolio based on such factors as current market conditions and specific industry or company information. The most expensive plan is one in which the client is assigned to an individual portfolio manager, who will take total responsibility for the asset allocation of the client's portfolio and will provide the client with monthly reports. Based on the services A-2-Z provides, it must register with the state as:

A. both a broker-dealer and an investment adviser.
B. a broker-dealer.
C. an investment adviser representative.
D. an investment adviser.

Question 2

Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A. The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
B. If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
C. The issuer must have preferred stockholders as well as common stockholders.
D. The issuer must never have defaulted on any bond or long-term lease obligation.

Question 3

Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy" based on new information that it has obtained on the company.
Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A. No. It is unethical for him to trade based on this information before the firm's clients have received the information.
B. Both B and C are true statements.
C. No. This is a prohibited activity referred to as "painting the tape."
D. Yes. The firm's analysts used publicly available information to assess the stock and make its recommendation, so Noah can buy the stock now on his own account.

Question 4

In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser has a column in which the publisher makes specific investment recommendations for clients who write in for advice.
About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

A. I, II, and III
B. II only
C. I only
D. I and II only

Question 5

Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

Solutions: