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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.
B) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.
C) All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.
D) The client agrees to pay the investment adviser an hourly fee of $60.00.

2. Which of the following is not a method that can be used to register securities with the state?

A) registration by exception
B) registration by qualification
C) registration by notification
D) registration by coordination

3. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
B) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
C) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.

4. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You tell her you can enter it for her as a "market not held" order.
B) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.

5. The settlement date refers to

A) the date the order to purchase or sell the security is sent to the market.
B) the date the order to purchase or sell a security is actually executed. This may differ from the date that
the order is sent to the market in the cases of limit or stop orders.
C) the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.
D) the date the buyer must pay for the securities purchased.

Solutions: