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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with
at least once a year?

A. both A and B
B. the number of any complaints that each of its investment adviser representatives has received during
the period
C. the total number of agency cross transactions completed for the client during the period
D. the total amount of commissions or other compensation that the investment adviser received or
expects to receive in connection with agency cross transactions performed for the client during the period

Question 2

Which of the following does not need to be included in an investment advisory contract?

A. a statement that the contract cannot be assigned to another party without the client's consent
B. the total amount of money that the investment adviser currently has under management
C. the term of the contract
D. the advisory fees and the formula used to compute them

Question 3

Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A. No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
B. Yes. The agent who executes your purchase order has engaged in illegal insider trading.
C. Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
D. Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.

Question 4

Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A. II and III only
B. I and III only
C. None of the selections describe prohibited practices.
D. I only

Question 5

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

Solutions: