FINRA Uniform Securities State Law Series63

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management

A. I and III only
B. II and III only
C. All of the selections meet the qualifications of a federal covered adviser.
D. I and II only

Question #2
Which of the following would not appear on an order ticket?

A. the stock symbol
B. the account number of the client buying or selling the security
C. the agent's commission
D. the settlement date

Question #3
Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi

A. will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B. is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
C. is in violation of NASAA rules regarding investment company shares.
D. is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.

Question #4
The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact from its prospectus. Turnover is guilty of

A. misrepresentation.
B. nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
C. fraud.
D. misusing insider information.

Question #5
Most individual state securities laws today are based on:

A. the Uniform Securities Act of 2002.
B. the National Securities Markets Improvement Act of 1996.
C. the Gramm-Leach-Bliley Act of 1999.
D. the Uniform Securities Act of 1956.

Solutions: