FINRA Series_63 Value Pack (Frequently Bought Together)

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

A) I and II only
B) II and III only
C) II only
D) I, II, and III

2. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities
Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale
when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of
Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold
the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither III nor IV would be considered sales.
B) Neither II nor III would be considered sales.
C) Neither I nor IV would be considered sales.
D) Neither I nor II would be considered sales.

3. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
was her mistake.
B) He needs to forward the check to the mutual fund within 3 days.
C) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
D) He needs to forward the check to the mutual fund within 24 hours.

4. In which of the following scenarios is an investment adviser representative required to disclose the fact
that someone other than the representative performed the research on which his advice to the client is
based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy
of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research
provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in
return for trades that the investment adviser executes using the services of the broker-dealer, as well as a
couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a
recommendation for the asset allocation of the client's investment monies that the adviser deemed was
sound and, therefore, recommended it to his client.

A) III only
B) I only
C) I and III only
D) II only

5. The current yield on a bond fund refers to

A) the return that the fund earned based only on the interest income it received
B) the total return that the fund has earned over the most recent 12 month period.
C) the return that the fund earned because of the capital appreciation of the securities in the fund.
D) the percentage increase in the fund's net asset value.

Solutions: