FINRA Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1
Price pegging refers to

A. the illegal activity of a group of investors who buy and sell a security among themselves to create an
artificially high volume of trading in hopes of luring investors to buy the security.
B. the practice of buying large amounts of a security to drive its price up artificially.
C. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers
and/or their agents to generate more commissions for themselves.
D. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

Question #2
An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a
reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in
bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds
and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over
the past three years. Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop
in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%. Does
Arnold have any remedies available to him?

A. Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the
court for "pain and suffering."
B. No. The investment adviser had no way of knowing that the market was going to fall when he provided
the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
C. Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
D. No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich,
but pigs get led to slaughter."

Question #3
Which of the following would not fall under the classification of "institutional investor"?

A. Franklin Templeton Mutual Funds
B. Chase Bank
C. Neuring Investment Advisers
D. Prudential Insurance

Question #4
Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
B. Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
C. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
D. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.

Question #5
Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?

A. a statement of the investment policy that has been agreed upon between the adviser and the client
B. if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period
C. the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients.
D. a statement stipulating that the contract cannot be assigned to another party without the client's
consent

Solutions: