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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?

A. the total amount of commissions or other compensation that the investment adviser received or expects to receive in connection with agency cross transactions performed for the client during the period
B. the total number of agency cross transactions completed for the client during the period
C. both A and B
D. the number of any complaints that each of its investment adviser representatives has received during the period

Question 2

A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

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

Question 3

Which of the following are accurate statements regarding the minimum financial requirements for investment advisers according to the NASAA Model Rules?
I. Any investment adviser who has discretionary authority over a client's assets, but who does not have actual custody of client funds or securities, is required to maintain a minimum net worth of $10,000 at all times.
II. An investment adviser who requires that a fee of more than $500 from his clients be paid six months or more in advance must maintain a positive net worth at all times.
III. Only an investment adviser who has actual custody of client assets is subject to a minimum net worth requirement, which the NASAA Model Rules specifies is $10,000.

A. I only
B. I and II only
C. II and III only
D. III only

Question 4

After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A. U-4
B. a recent photograph of yourself
C. proof that you meet the state's minimum net capital requirement
D. Form ADV

Question 5

As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A. The SIPC is the FDIC of the stock and bond markets."
B. "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."
C. "The SIPC is a government agency created by an Act of Congress to combat fraud."
D. "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."

Solutions: