FINRA Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
B) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.
C) Erin must register as an investment adviser since she is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.

2. The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least

A) five years.
B) three years.
C) seven years.
D) Investment advisers must maintain their records for as long as they remain registered with the state.

3. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) The applicant has never before worked in the securities industry although he has received the requisite training.
B) The person has been convicted of check kiting within the past ten years.
C) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
D) Some of the information supplied on the registration application was found to be false.

4. "T + 3" refers to

A) the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
B) a procedure to minimize the potential for money laundering.
C) the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
D) the form that is filled out and sent to the client confirming that the trade has been executed.

5. 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) 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.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
D) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.

Solutions: