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FINRA FINRA-SERIES-63 Exam Dumps

Vendor: FINRA
Exam Code: FINRA-SERIES-63
Exam Name: FINRA Uniform Securities Agent State Law Examination
Certification: FINRA Certifications
Total Questions: 251 Q&A
Updated on: Oct 18, 2024
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Free FINRA-SERIES-63 Exam Questions in PDF Format

FINRA-SERIES-63 Online Practice Questions and Answers

Questions 1

A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A. sue CanDo for not getting him the best price of the day-or anything close to it.

B. refuse to pay CanDo commissions for the purchase.

C. refuse to pay for the stock on the settlement date.

D. do nothing about it.

Show Answer
Questions 2

When a client has purchased securities on margin, the broker-dealer

A. may require that the client leave all his securities, even those not purchased on margin, in street name.

B. must keep the securities that the client paid cash for separate from the securities that the client purchased on margin.

C. may use any securities that the client purchased on margin as collateral for a loan from a bank upon receiving a written agreement signed by the client.

D. Both B and C are correct statements.

Show Answer
Questions 3

Which of the following would not appear on an order ticket?

A. the stock symbol

B. the account number of the client buying or selling the security

C. the settlement date

D. the agent's commission

Show Answer More Questions

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FINRA Uniform Securities Agent State Law Examination(FINRA Certifications)
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