FINRA Series_63 : Uniform Securities Agent State Law Examination

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?

A) All of the above describe prohibited practices.
B) The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis.
C) A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
D) A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity.

2. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a stock listed on the Tokyo Stock Exchange
C) a bond guaranteed by the Canadian government
D) a bond issued by another state's employees' credit union

3. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
C) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
D) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."

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

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

5. Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment
adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has
offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in
Switch Advisory. Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.

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

Solutions: