FINRA Series63 - Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm. She has decided that her firm needs a niche and has learned that a consulting group is coming to the area and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the niche she has been looking for and signs up herself and her three investment adviser representatives for the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A) indicate that they are certified by the ARP program since money was paid for their attendance.
B) have the words "Senior-Citizen Investment Specialists" printed on their business cards.
C) do none of the above.
D) represent themselves as certified senior citizen investment advisers.

3. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?

A) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
B) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
C) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.

5. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 3 years in prison or a $5,000 fine, or both.
B) license suspension.
C) up to 5 years in prison or a $10,000 fine, or both.

Solutions: