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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and IV only
B) I and II only
C) none of the above. An investment adviser is never allowed to share in the capital gains earned on
D) I, II, and III only

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

3. Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal charge for any specific investment advice given.

A) II and III only.
B) I, II, III, or IV.
C) I, II, and III only.
D) II, III and IV only.

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

5. Which of the following statements about agents is (are) false?

A) If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
B) All of the above are false statements.
C) An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
D) When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.

Solutions: