FINRA Uniform Securities Agent State Law Examination : Series63 exam

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small & Associates is required to

A) provide the client with a written response to the complaint.
B) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered agent.
C) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
D) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.

2. Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?

A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
B) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
C) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
D) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.

3. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay for the stock on the settlement date.
B) refuse to pay CanDo commissions for the purchase.
C) do nothing about it.
D) sue CanDo for not getting him the best price of the day-or anything close to it.

4. You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should

A) call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order on his behalf in case Mr. Pulse decides to place the order elsewhere.
B) tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
C) advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
D) do both A and B.

5. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
B) Erin must register as an investment adviser since she is providing investment advice.
C) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.

Solutions: