FINRA Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1
In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A. An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
B. all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
C. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
D. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock

Question #2
Which of the following does not need to be included in an investment advisory contract?

A. the total amount of money that the investment adviser currently has under management
B. a statement that the contract cannot be assigned to another party without the client's consent
C. the term of the contract
D. the advisory fees and the formula used to compute them

Question #3
An investment adviser or its representative may

A. exercise discretionary power in the purchase or sale of securities for a client's account as long as
B. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
C. exercise discretionary power in the purchase or sale of securities for a client's account only after
D. exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

Question #4
Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A. an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
B. a certificate of deposit (CD)
C. a put option
D. a debenture

Question #5
Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A. The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
B. The issuer must have preferred stockholders as well as common stockholders.
C. The issuer must never have defaulted on any bond or long-term lease obligation.
D. If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a

Solutions: