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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a hypothecation agreement
B) a preliminary prospectus
C) a margin agreement if the purchase is being made on margin
D) a final prospectus

2. The trade confirmation must be received by the customer no later than

A) the settlement date.
B) one week after the settlement date.
C) five business days after the settlement date.
D) the day after the trade takes place.

3. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

A) an investment adviser.
B) an administrative assistant.
C) an agent.
D) an investment adviser representative.

4. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
B) committed fraud in indicating that bonds are less risky than stocks.
C) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
D) advised Jack and Jill well with a conservative allocation of their money to preserve principal.

5. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state. One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving partners.
Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

A) I and III only
B) I, II, and III
C) I and II only
D) I only

Solutions: