FINRA Series63 test insides dumps : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100 billion dollars under management. A client has filed a complaint asserting that the firm has been involved in fraudulent activities. In this case,

A. Gazillions has to answer to both the SEC and the state in which the complaint was filed.
B. Gazillions only has to answer to the state in which the complaint was filed.
C. Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it has under management.
D. Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered investment adviser, it need not respond to any state-issued requests for information.

Question 2

Which of the following is not a method that can be used to register securities with the state?

A. registration by coordination
B. registration by qualification
C. registration by notification
D. registration by exception

Question 3

Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an investment adviser representative who works for Haskell Investment Advisers, to get advice on how they can better structure their investments to meet their retirement goals. Their son, Theodore, who has recently graduated college and has a great job as a software writer for a video game company, accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr. Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among the same ten funds.
Has Mr. Eddie done anything wrong?

A. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
B. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
C. Yes. Clients who are ready to retire have different investment needs than a client who is just entering the work force. The recommendation that both Theodore and his parents have the same asset allocation is clearly unsuitable.
D. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better investments.

Question 4

According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless

A. the client has a net worth of at least $500,000.
B. the broker-dealer already has a margin agreement signed by the client in hand.
C. the client has been a customer of the firm for at least 6 months.
D. the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.

Question 5

Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A. Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
B. Sam has 45 days in which to file an appeal with the attorney general.
C. Sam can move to another state and apply for registration as an investment adviser there.
D. Sam has 60 days to file an appeal of the decision in a court of law.

Solutions: