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Sharpen Your Knowledge with Finra (Series-63) Certification Sample Questions
CertsTime has provided you with a sample question set to elevate your knowledge about the Finra Uniform Securities State Law Examination exam. With these updated sample questions, you can become quite familiar with the difficulty level and format of the real Series-63 certification test. Try our sample Finra Uniform Securities State Law Examination certification practice exam to get a feel for the real exam environment. Our sample practice exam gives you a sense of reality and an idea of the questions on the actual Finra Uniform Securities State Law certification exam.
Our sample questions are similar to the Real Finra Series-63 exam questions. The premium Finra Uniform Securities State Law Examination certification practice exam gives you a golden opportunity to evaluate and strengthen your preparation with real-time scenario-based questions. Plus, by practicing real-time scenario-based questions, you will run into a variety of challenges that will push you to enhance your knowledge and skills.
Finra Series-63 Sample Questions:
Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based on these facts,
Which of the following does not need to be included in an investment advisory contract?
Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I . file a new U-5 form with the Administrator.
II . meet higher net capital requirements than before.
III . file an updated Form ADV with the Administrator.
IV . pay a CPA to do an annual unannounced audit of the firm.
Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can
John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family of load funds that it encourages its representatives to promote. Representatives of the firm that sell shares in these funds to their clients receive a greater share of the load than they do if they sell load funds offered by other firms.
Based on these facts, which of the following statements is true?
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