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:

Question 1

Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A. Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
B. Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
C. Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
D. Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.

Question 2

Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can

A. list the names of the players he's advising as long as he lists the names of all his other clients, too.
B. use testimonials from any of the players who willingly provide them without compensation.
C. list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
D. list the names of the players he's advising as long as he has their written permission to do so.

Question 3

Painting the tape refers to

A. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
B. the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
C. the practice of buying large amounts of a security to drive its price up artificially.
D. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.

Question 4

Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A. Yes. Ken is guilty of the prohibited practice of "tailgating."
B. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.
C. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
D. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.

Question 5

Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

Solutions: