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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and
executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is

A) an investment adviser.
B) a broker-dealer.
C) an investment adviser representative.
D) an agent.

2. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.
B) Neither MoeMoney nor its clients need do anything.
C) MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado.
D) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf.

3. 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 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.
B) 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.
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 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.

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

5. An investment adviser may not

A) take a position-either long or short-in securities in which any of its clients have a position.
B) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
C) also be registered as a broker-dealer in the state.
D) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.

Solutions: