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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding the registration of broker-dealers and investment advisers is true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
B) Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.

2. A hypothecation agreement refers to

A) an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.
B) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
C) a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
D) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.

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

4. According to the NASAA Model Rules, which of the following institutions would not be considered a qualified custodian?

A) a broker-dealer that is registered with the state
B) a bank that is insured by a private, state-sponsored insurance company
C) a foreign financial institution
D) a savings institution that is insured by the FDIC

5. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) four.
B) five.
C) There is no specified turnover ratio assigned to the prohibited practice of churning.
D) eight.

Solutions: