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FINRA Series-63 Practice Test Questions Answers

Exam Code: Series-63 (Updated 251 Q&As with Explanation)
 Exam Name: Uniform Securities State Law Examination
 Last Update: 28-Aug-2025
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Questions Include:

  • Single Choice: 251 Q&A's

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    Series-63 Questions and Answers

    Question # 1

    When selling shares of an investment company to a client, an agent must provide the client with

    I. the fund’s prospectus, which provides information on any loads or other fees as well as historical return information.

    II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent

    III. information regarding the investment adviser used by the fund

    IV. an explanation of the various loads and fees outlined in the fund’s prospectus

    A.

    I, II, III, and IV

    B.

    I, II, and III only

    C.

    I and II only

    D.

    I, II, and IV only

    Question # 2

    o: 52

    Which of the following statements regarding “registration by qualification” is true?

    A.

    Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements.

    B.

    Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork.

    C.

    In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders.

    D.

    Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state.

    Question # 3

    An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is serving as the qualified custodian of the client’s funds.

    If the investment adviser wants to avoid being considered custodian of this client’s account, what must the adviser do?

    A.

    Record what securities were sent, when he received them, and when he forwarded them--which

    B.

    Record what securities were sent, when he received them, and when he forwarded them--which must be within three business days-to his client.

    C.

    Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to his client.

    D.

    Record what securities were sent, when he received them, and when he forwarded them--which must be within twenty-four hours-to the qualified custodian of the client’s funds.

    Question # 4

    Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.

    In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?

    I. The investor has refused to provide Cassie any information regarding his investment goals.

    II. The investor is a young professional with an investment goal of long-term capital appreciation.

    III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.

    A.

    I only

    B.

    I and II only

    C.

    III only

    D.

    It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.

    Question # 5

    Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can’t attend all the games themselves, so Kevin has created “packages” of eight games each that he is listing for sale on Craig’s List.

    Do these “packages” meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?

    A.

    If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he’s selling the packages to only a few people, he will not have to register them with the state. (Kevin may, however, be guilty of violating ticket scalping laws.)

    B.

    Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.

    C.

    The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.

    D.

    Statements A and B are both true statements.

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