FINRA Series63 valid exam dumps : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he:

A) participates in the selling of the new stock to individual investors.
B) Jack will need to register as a sales representative if he performs any one of the above activities.
C) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
D) represents NewCorp in any transactions with financial institutions.

2. Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the Administrator finds that Nebulous had been engaged in fraudulent securities transactions.
Which of the following statements is true?

A) The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in trouble.
B) The Administrator has five years from the discovery of the misdeed to take disciplinary action, so Nebulous will have to be on the lookout for a long time to come.
C) The Administrator is only able to take disciplinary action if the misdeeds are discovered within three months of the effective date of the withdrawal, so Nebulous slipped by this time.
D) The Administrator is unable to take disciplinary action against Nebulous because the self-initiated withdrawal became effective 30 days after the application was filed.

3. A "notice filing" refers to

A) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
B) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
C) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
D) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.

4. A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?

A) A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
B) A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
C) A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
D) A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.

5. uestion No: 124
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they are 50 and have arranged a meeting with a representative of Professional Investment Advisers to structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize the risk of loss on the way to their goal. Mr. Hill has

A) made an unsuitable recommendation for these clients and is subject to license suspension or revocation.
B) has committed fraud in promoting their delusion that they can possibly expect to retire by the time they turn 50, regardless of their investment strategy.
C) committed fraud in indicating that bonds are less risky than stocks.
D) advised Jack and Jill well with a conservative allocation of their money to preserve principal.

Solutions: