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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should

A) turn the matter over to your supervisor.
B) advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
C) nod politely, but not execute the transactions since they are not in her best interest.
D) call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law.

2. Which of the following statements is false?

A) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
B) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.
C) None of the above statements is false; all are true statements.
D) 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.

3. The Uniform Securities Act (USA) is

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

4. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able
to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of
its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them.
BondsRUs is guilty of

A) fraud.
B) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are
willing to pay.
C) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is
unwarranted.
D) both B and C.

5. 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) I, II, and III
C) I and III only
D) II and III only

Solutions: