FINRA Series-63 Exam Dumps
Uniform Securities State Law Examination
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FINRA Series-63 Sample Questions
Question # 1Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?
A. The client agrees to pay the investment adviser an hourly fee of $60.00.
B. The investment adviser will receive 0.1% of the total value of the client’s assets under management as
of the end of each month.
C. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.
D. All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.
Question # 2
AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client “doesn’t have to lie awake all night worrying about a financial problem.” In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm’s business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative. Is this a violation of any securities laws?
A. No. It’s not a violation of any securities laws, but the firm probably won’t retain many clients this way.
B. Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.
C. No. The firm’s phones are manned 24/7, so it hasn’t lied.
D. It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser
representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
Question # 3
The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,
A. they must be registered with the SEC since railroads are involved in interstate commerce.
B. they must be registered in every state in which the bonds will be sold to investors.
C. they must be registered with the SEC and in each state through which the railroad passes.
D. None of the above statements is true.
Question # 4
“T + 3” refers to
A. the form, also known as a “trade ticket,” that is filled out when an order is entered into the market.
B. the form that is filled out and sent to the client confirming that the trade has been executed.
C. 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.
D. a procedure to minimize the potential for money laundering.
Question # 5
Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a certain stock. The report was generated by CanDo’s analyst department and is hot off the presses. It has not yet even been put on the firm’s website for the firm’s clients. The analyst department has just changed its recommendation on the stock from “Hold” to “Strong Buy” based on new information that it has obtained on the company. Can Noah rush to his office to buy shares of the stock before the analysts release their reports to CanDo’s clients?
A. Yes. The firm’s analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
B. No. It is unethical for him to trade based on this information before the firm’s clients have received the
information.
C. No. This is a prohibited activity referred to as “painting the tape.”
D. Both B and C are true statements.
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