Printable PDFFINRA FINRA-SERIES-63 Exam Dumps
Vendor: FINRA
Exam Code: FINRA-SERIES-63
Exam Name: FINRA Uniform Securities Agent State Law
Certification: FINRA Certifications
Total Questions: 251 Q&A
Updated on:
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Free FINRA-SERIES-63 Exam Questions in PDF Format
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FINRA-SERIES-63 Online Practice Questions and Answers
In which of the following instances is it permissible for an investment adviser to borrow money from a client?
A. It is never permissible for an investment adviser to borrow money from a client.
B. The investment adviser may borrow money from a client if the client is a bank.
C. The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
D. The investment adviser may borrow money in either of the scenarios described
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.
Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?
A. Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
B. Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
C. Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D. Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
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