FINRA Uniform Securities Agent State Law Examination : Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and IV only
B) I and II only
C) none of the above. An investment adviser is never allowed to share in the capital gains earned on
D) I, II, and III only

2. Which of the following would not fall under the classification of "institutional investor"?

A) Franklin Templeton Mutual Funds
B) Chase Bank
C) Neuring Investment Advisers
D) Prudential Insurance

3. Which of the following practices would be prohibited in connection with the sale of investment company shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment objective exists II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families III. encouraging a client to swap his money between two funds in the same family without informing him that this creates a taxable event

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

4. on No: 239
A tombstone advertisement is

A) the only type of advertisement that an investment advisory firm is allowed to use.
B) an offer to sell a new security.
C) the announcement of a new security that may become available for purchase.
D) an offer to sell a new security that is being issued by an Arizona firm.

5. Although an Administrator has broad powers, he or she cannot:

A) issue subpoenas involving compulsory attendance.
B) formulate rules and orders.
C) deliver a judicial injunction.
D) gather evidence.

Solutions: