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FINRA Series_63 valid - in .pdf
- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Q & A: 255 Questions and Answers
- PDF Price: $59.99
- Free Demo
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FINRA Series_63 valid - Testing Engine
- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Q & A: 255 Questions and Answers
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Regulation of Investment Advisers and Representatives | - Investment Adviser Representatives
| |
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| State Securities Acts and Related Rules | 60% | - Administrator Powers
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
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 must forward the complaint to the state Administrator.
- C. Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
- D. Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
Answer: C
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Question #2
You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,
- A. you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it. - B. you can simply find another broker-dealer to hire you and have your license transferred to him.
- C. you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer. - D. the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
Answer: C
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Question #3
The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within
- A. 30 days.
- B. 1 year.
- C. 60 days.
- D. 45 days.
Answer: A
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Question #4
The trade confirmation must be received by the customer no later than
- A. the day after the trade takes place.
- B. one week after the settlement date.
- C. five business days after the settlement date.
- D. the settlement date.
Answer: D
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Question #5
Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?
- A. The client agrees to pay the investment adviser an hourly fee of $60.00.
- B. All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000. - C. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter. - D. The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.
Answer: C
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