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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

2. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk,
is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk
reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own
knowledge. Based on these facts, which of the following statements is true?

A) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.
B) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.
C) Erin must register as an investment adviser since she is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice, and Erin must register as an investment adviser representative as the firm's
employee.

3. MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?

A) Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation
from broker-dealers with which it has a relationship, such as research or custodial services, other forms of
soft dollar compensation, including the payment of overhead expenses,are prohibited.
B) Yes. Investment advisers are required to use more than two broker-dealers when executing trades on
its clients' accounts.
C) No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which
it has a relationship as long as they disclose this to their clients.
D) Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.

4. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) three years after the discovery of the facts and four years after the violation, whichever is greater.
B) the earlier of two years after the discovery of the facts and four years after the violation.
C) the earlier of three years after the discovery of facts and five years after the violation.
D) the earlier of two years after the discovery of facts and three years after the sale.

5. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 1 year.
B) 2 years.
C) 10 years.
D) 5 years.

Solutions: