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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

A. III only
B. I only
C. It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.
D. I and II only

Question 2

Which of the following would not fall under the classification of "institutional investor"?

A. Neuring Investment Advisers
B. Prudential Insurance
C. Franklin Templeton Mutual Funds
D. Chase Bank

Question 3

A hypothecation agreement refers to

A. a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
B. an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.
C. an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
D. an agreement that a client must sign prior to executing any short sales with the broker-dealer.

Question 4

Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?

A. An investment adviser keeps a client's securities in its safety deposit box.
B. An investment adviser has general power of attorney for a client and is authorized to withdraw client funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's request.
C. An investment adviser is mistakenly sent a client's securities, but returns them to the sender within three business days of receipt.
D. An investment adviser receives a check from a client that is written to a mutual fund and forwards the check to the mutual fund within three business days of receipt.

Question 5

"Federal covered securities" were defined and exempted from state registration requirements by the:

A. Gramm-Leach-Bliley Act of 1999 (GLBA.)
B. Uniform Securities Act (USA.)
C. National Conference of Commissioners on Uniform State Laws (NCCUSL.)
D. National Securities Markets Improvement Act of 1996 (NSMIA.)

Solutions: