ExamTopics Logo
Mail Us[email protected]
Menu
Finra Discussions
exam questions

Exam Series 63 All Questions

View all questions & answers for the Series 63 exam
Go to Exam

Exam Series 63 topic 1 question 213 discussion

Actual exam question from FINRA's Series 63
Question #: 213
Topic #: 1
[All Series 63 Questions]

Which of the following does not need to be included in an investment advisory contract?

  • A. the term of the contract
  • B. the total amount of money that the investment adviser currently has under management
  • C. the advisory fees and the formula used to compute them
  • D. a statement that the contract cannot be assigned to another party without the client's consent
Show Suggested Answer Hide Answer
Suggested Answer: B 🗳️
The amount of money that the investment adviser currently has under management need not be included in an investment advisory contract. The contract does have to include the term of the contract, the advisory fees and the formula used to compute them, and a statement that the contract cannot be assigned to another party without the client's consent, along with other information.
by lolojepu at April 6, 2025, 1:50 a.m.

Comments

Chosen Answer:
This is a voting comment (?). It is better to Upvote an existing comment if you don't have anything to add.
Switch to a voting comment New
Submit Cancel
Currently there are no comments in this discussion, be the first to comment!
Community vote distribution
A (35%)
C (25%)
B (20%)
Other
Most Voted
A voting comment increases the vote count for the chosen answer by one.

Upvoting a comment with a selected answer will also increase the vote count towards that answer by one. So if you see a comment that you already agree with, you can upvote it instead of posting a new comment.

SaveCancel