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. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."
B) The SIPC is the FDIC of the stock and bond markets."
C) "The SIPC is a government agency created by an Act of Congress to combat fraud."
D) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."

2. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and IV only
B) I, II, and III only
C) none of the above. An investment adviser is never allowed to share in the capital gains earned on
D) I and II only

3. A margin transaction refers to a transaction

A) in which a registered agent makes trades on a customer's account without that customer's knowledge.
B) that is illegal under the guidelines of the Uniform Securities Act.
C) Both A and C are true statements.
D) in which the client borrows some of the money that he is investing.

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

A) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
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.

5. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

A) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
B) Marge is a loan officer at Treadwater Bank and Trust.
C) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
D) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

Solutions: