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FINRA-SERIES-63 Exam Questions & Answers

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FINRA-SERIES-63 Exam Questions & Answers

Vendor: FINRA

Certifications: FINRA Certifications

Exam Code: FINRA-SERIES-63

Exam Name: FINRA Uniform Securities Agent State Law

Updated: Jan 01, 2025

Q&As: 251

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FINRA-SERIES-63 Online Practice Questions and Answers

Questions 1

Sam Shade had his agent's license revoked by the state of Washington for repeatedly making misleading claims about various investment to investors. He had had it with all the rain anyway and decided to move to the sunshine state of Florida. His brother-in-law was a computer whiz who made money on the side (more than his day job provided, in fact) by supplying illegal immigrants with official-looking documentation, including social security numbers. Sam Shade became Ian Creed in a few clicks of the mouse. As Ian Creed, Sam was hired by Sunny Investment Advisers, an investment adviser firm located in the Florida Keys, in a clerical role. As such, Sam/Ian had access to the confidential information of the firm's clients, which he and his brother-in-law utilized for the purpose of identity theft. Under the Uniform Securities Act guidelines, when Sam and his brother-in-law are caught in their illegal activities.

A. Sunny Investment Advisers will not be held liable if it can prove that there was no way it could have or should have known of the revocation of Sam Shade's (aka Ian Creed) license.

B. Sunny Investment Advisers will be subject to criminal prosecution for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.

C. Sunny Investment Advisers will be subject to civil penalties for employing an individual whose license had been revoked by the Administrator of another state.

D. Sunny Investment Advisers will be subject to both criminal prosecution and civil penalties for employing an individual whose license had been revoked by the Administrator of another state since it obviously did not use due diligence in hiring Ian Creed, aka Sam Shade.

Show Answer
Questions 2

Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing unethical if his recommendation is based on the fact that

A. the Alpha Fund has a back-end load.

B. the Omega Fund has a front-end load.

C. the Alpha Fund has been performing poorly relative to other funds in the same category.

D. It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy shares of another fund that has the same investment objective.

Show Answer
Questions 3

When selling shares in a closed-end investment company, an agent must inform the client of any

I. commissions

II. underwriting fees

III.

miscellaneous offering expenses

A.

I, II and III

B.

I only

C.

I and II only

D.

I and III only

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