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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your other knowledge of her situation, you believe it to be an unwise move. You should

A) call the mutual fund and tell them that they must convince this client that an investment in their fund is not in her best interest, under penalty of law.
B) nod politely, but not execute the transactions since they are not in her best interest.
C) turn the matter over to your supervisor.
D) advise her that you don't believe this is in her best interest, but execute the required transactions if she insists.

2. The discretionary powers over a clients' accounts differ between broker-dealers and investment advisers in that

A) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas a broker-dealer must require that written authority for the transaction is provided before the transaction even takes place.
B) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas an investment adviser must require that written authority for the transaction is provided before the transaction even takes place.
C) A broker-dealer can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas an investment adviser must require that written authority for the transaction is in the mail before proceeding with the transaction.
D) An investment adviser can execute a discretionary transaction for a client upon receiving only verbal authority initially, followed up by written authority to be received within 10 days of the order, whereas a broker-dealer must require that written authority for the transaction is in the mail before proceeding with the transaction.

3. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is acting as a dealer?

A) Mr. Bigwig
B) HiGrowth Corporation
C) GetErDone Broker-Dealers
D) BigFee Investment Bankers

4. An investment adviser may not

A) take a position-either long or short-in securities in which any of its clients have a position.
B) recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.
D) also be registered as a broker-dealer in the state.

5. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A) Mr. Bigwig
B) HiGrowth Corporation
C) GetErDone Broker-Dealers
D) BigFee Investment Bankers

Solutions: