Free FINRA Series-63 Exam Questions
Absolute Free Series-63 Exam Practice for Comprehensive Preparation
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FINRA Series-63 Exam Questions
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Provided By: FINRA
- Exam: Uniform Securities Agent State Law
- Certification: North American Securities Administrators Association (NASAA)
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Total Questions: 254
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Updated On: Dec 08, 2025
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Rated: 4.9 |
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Online Users: 508
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Question 1
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Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?
Answer: D
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Question 2
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Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?
Answer: D
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Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?
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Question 3
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Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
Answer: D
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Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
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Question 4
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Registration by coordination is provided for by which of the following federal securities acts?
Answer: A
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Registration by coordination is provided for by which of the following federal securities acts?
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Question 5
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White and Associates is an investment adviser registered in the state of Kentucky and, as such, is meeting Kentucky’s minimum net capital requirement for investment advisers. The firm recently registered with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital requirement for its investment advisers. Which of the following statements is true?
Answer: B
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