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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should

A) nod politely, but not execute the transactions since they are not in her best interest.
B) call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law.
C) advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
D) turn the matter over to your supervisor.

2. The current yield on a bond fund refers to

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

3. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?

A) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
B) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts.
C) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending.
D) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.

4. Which of the following is not a prohibited practice for a broker-dealer?

A) executing a trade for an account holder based on instructions from the account holder's spouse
B) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
C) recommending a security to a new client without first ascertaining that client's level of risk tolerance
D) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"

5. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) ignore Mr. Crochety's instruction since it is not in his best interest.
B) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
C) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D) call Mr. Crochety's relatives and suggest they have him examined for mental instability.

Solutions: