FINRA Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Although an Administrator has broad powers, he or she cannot:

A) deliver a judicial injunction.
B) issue subpoenas involving compulsory attendance.
C) gather evidence.
D) formulate rules and orders.

2. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?

A) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
B) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.
C) Ms. Swyne must forward the complaint to the state Administrator.
D) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.

3. In which of the following instances is it permissible for an investment adviser to borrow money from a client?

A) It is never permissible for an investment adviser to borrow money from a client.
B) The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
C) The investment adviser may borrow money from a client if the client is a bank.
D) The investment adviser may borrow money in either of the scenarios described in B or C.

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) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.
C) recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
D) also be registered as a broker-dealer in the state.

5. For how long after the effective date is a security's registration valid?

A) one year
B) six months
C) three months
D) two years

Solutions: