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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the
asset allocations of their portfolios. Jack Bean is

A) an agent.
B) an investment adviser.
C) an investment adviser representative.
D) an administrative assistant.

2. Which of the following would meet the requirements for an "exempt security?"

A) a $500,000 promissory note that matures in two years
B) a $25,000 promissory note that matures in three months
C) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors
D) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors

3. 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.

4. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
B) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
D) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.

5. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C) exercise discretionary power in the purchase or sale of securities for a client's account as long as
D) exercise discretionary power in the purchase or sale of securities for a client's account only after

Solutions: