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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. No: 93
The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) within a week's time.
B) before the end of the month.
C) by the close of business on the next business day.
D) before the beginning of the next quarter.

2. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an agent selling this bond, you can legitimately tell the investor that

A) the interest income the investor receives from the bond will be free from federal taxation.
B) all of the above statements are true.
C) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
D) all state general obligation bonds are also guaranteed by the federal government.

3. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
B) The SIPC is the FDIC of the stock and bond markets."
C) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."
D) "The SIPC is a government agency created by an Act of Congress to combat fraud."

4. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry, charging its clients for investment advice for additional remuneration. One of the firm's clients has been advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in these securities in the secondary market.
Which of the following statements is true?

A) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
B) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would be a conflict of interest.
C) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the part of the seller in the transaction.
D) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and receives the client's written consent before the transaction is settled.

5. Which of the following describes an investment adviser that is not required to register with the state Administrator?

A) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
B) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
C) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
D) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.

Solutions: