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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes an investment adviser that is not required to register with the state
Administrator?

A) Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state.
B) MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
C) CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.
D) Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state.

2. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which
B) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds.
C) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client.
D) Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client.

3. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) The investment adviser may borrow money from a client if the client is a bank.
B) The investment adviser may borrow money in either of the scenarios described in B or C.
C) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
D) It is never permissible for an investment adviser to borrow money from a client.

4. In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney
mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P
5 00 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P
5 00 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced
the client for the bonus. Has MoeMoney violated any securities laws?

A) No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its
agreement with YourMoney.
B) Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio
it manages loses money.
C) Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package
according to the Uniform Securities Act.
D) Yes. An investment adviser's compensation cannot be based on the capital appreciation of the
portfolio.

5. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A) It depends. As long as the church parishioners are aware of the arrangement between Carrie and
B) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
D) No. Carrie is just donating some of her commissions back to the church, and transactions with

Solutions: