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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A) No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
B) Both A and B are true.
C) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.
D) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.

2. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A) Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
B) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
C) Wheeler need not register in the state, and the securities are also exempt from registration.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.

3. According to the NASAA Model Rules, which of the following institutions would not be considered a qualified custodian?

A) a bank that is insured by a private, state-sponsored insurance company
B) a savings institution that is insured by the FDIC
C) a foreign financial institution
D) a broker-dealer that is registered with the state

4. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free financial planning kit, with no obligation on the part of the potential client
B) a free initial consultation, with no obligation on the part of the potential client
C) testimonials of satisfied clients
D) a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance

5. Which of the following would not appear on a trade confirmation?

A) the settlement date
B) All of the above items appear on a trade confirmation.
C) the commission
D) the client's account number

Solutions: