FINRA Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding an investment adviser representative who has an office in the
state is true?

A) If the investment adviser that the investment adviser representative is affiliated with is itself registered
with the state, then the investment adviser representative does not need to apply for a separate
registration, regardless of whether the investment adviser representative has an office in the state.
B) Regardless of whether the investment adviser is registered with the SEC or is registered with the state,
all investment adviser representatives of the firm must be registered with the state if they have offices in
the state.
C) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its
affiliated investment adviser representative needs to be registered with the state.
D) If an investment adviser representative is registered with the SEC, he or she need not obtain state
registration, regardless of whether the investment adviser representative has an office in the state.

2. Which of the following would not be found in a tombstone advertisement?

A) the name of the issuer
B) the interest rate and time to maturity of a bond issue
C) the price at which the security will be offered
D) the names of the underwriters

3. An investment adviser may not

A) also be registered as a broker-dealer in the state.
B) take a position-either long or short-in securities in which any of its clients have a position.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
D) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.

4. Painting the tape refers to

A) the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
B) the practice of buying large amounts of a security to drive its price up artificially.
C) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
D) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

5. Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A) None of the selections describe prohibited practices.
B) II and III only
C) I only
D) I and III only

Solutions: