FINRA Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a Treasury Inflation Protected Security (TIPS)
B) an S&P 500 Index mutual fund
C) a deferred annuity
D) a high quality corporate bond fund

2. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
C) up to 5 years in prison and a fine of $1,500,000 or both
D) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or

3. In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) I, II, and IV only
B) I and II only
C) I, II, and III only
D) none of the above. An investment adviser is never allowed to share in the capital gains earned on

4. The Uniform Securities Act (USA) is

A) federal legislation that requires all states to adopt the same registration requirements for all
B) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
C) a body of laws governing the purchase and sale of securities within a single state.
D) a set of guidelines for individual states to follow when formulating their own securities' laws.

5. Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal
charge for any specific investment advice given.

A) I, II, and III only.
B) II and III only.
C) I, II, III, or IV.
D) II, III and IV only.

Solutions: