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:

Question 1

Joe Treader is the owner of a small, state-registered investment advisory firm that is on the verge of becoming insolvent. One of his clients who has become like a mother to him is aware of his financial difficulties and has offered to sell off some of the assets that he manages for her and loan him the money to get him through this period of economic uncertainty until he is able to get on his feet again.
Can Joe take her up on her offer?

A. No. As the client's investment adviser, he has a fiduciary relationship with the client. Entering a loan agreement with this client could lead to conflicts of interest.
B. Yes. Based on the facts presented, it is an unsolicited offer and, as such, Joe can (and should) accept it.
C. Both A and B are true.
D. Yes, but only if Joe draws up a formal loan agreement with a fair interest rate, based on the going market rates, stated in the agreement as well as a firm date for principal repayment.

Question 2

Which of the following actions is the Administrator of a state empowered to take?

A. require restitution for the victims of a scam
B. The Administrator of a state has the authority to take all of the above actions.
C. gather evidence
D. impose civil penalties in cases of fraud

Question 3

Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A. Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
B. Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
C. Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
D. Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.

Question 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. agent.
C. none of the above.
D. issuer.

Question 5

uestion No: 157
An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his books each year so that the accountant can report his findings to the state Administrator.

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

Solutions: