FINRA : Series63 Questions & Answers

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Uniform Securities Act (USA) is

A) a body of laws governing the purchase and sale of securities within a single state.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) federal legislation that requires all states to adopt the same registration requirements for all.
D) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.

2. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) either Huey or Dewey or both
B) Huey only
C) Dewey only
D) Either Huey, Dewey, or Louie or any combination of the three

3. Which of the following laws deals with identity theft protection?

A) the USA Patriot Act
B) ERISA
C) Regulation S-P
D) the Bank Secrecy Act (BSA)

4. Which of the following statements is false?

A) The minimum net capital requirement for investment advisers that take custody of their clients' assets is higher than the net capital requirement for advisers who do not take custody of the assets.
B) A state cannot require a higher minimum net capital for investment advisers than the amount specified by the Investment Advisers Act of 1940.
C) None of the above statements is false; all are true statements.
D) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by the Securities Exchange Act of 1934.

5. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment company.
B) broker-dealer.
C) investment adviser.
D) agent.

Solutions: