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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not appear on a trade confirmation?

A) the client's account number
B) the settlement date
C) the commission
D) All of the above items appear on a trade confirmation.

2. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) participates in the selling of the new stock to individual investors.
B) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
C) represents NewCorp in any transactions with financial institutions.
D) Jack will need to register as a sales representative if he performs any one of the above activities.

3. In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney
mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P
5 00 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P
5 00 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced
the client for the bonus. Has MoeMoney violated any securities laws?

A) Yes. An investment adviser's compensation cannot be based on the capital appreciation of the
portfolio.
B) Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio
it manages loses money.
C) No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its
agreement with YourMoney.
D) Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package
according to the Uniform Securities Act.

4. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
B) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.
C) All of the above describe prohibited practices.
D) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.

5. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
B) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.

Solutions: