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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 1 year.
B) 10 years.
C) 5 years.
D) 2 years.

2. Although an Administrator has broad powers, he or she cannot:

A) formulate rules and orders.
B) gather evidence.
C) deliver a judicial injunction.
D) issue subpoenas involving compulsory attendance.

3. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide information about the some of the fund's financial aspects, such as its closing net asset value on the previous day.
What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
B) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is not engaged in the purchase or sale of the fund shares.
C) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing information about a specific mutual fund.
D) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative in this case since she is providing information about a mutual fund.

4. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.
B) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.
C) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
D) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.

5. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?

A) GetErDone Broker-Dealers
B) HiGrowth Corporation
C) Mr. Bigwig
D) BigFee Investment Bankers

Solutions: