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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.

A) I only
B) I and III only
C) I and II only
D) All the choices describe prohibited practices in the sale of shares of investment companies.

2. An individual who represents a broker-dealer in the buying and selling of securities is called a(n):

A) issuer
B) administrator
C) agent
D) underwriter

3. Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.
Based on these facts, which of the following statements is true?

A) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice, and Erin must register as an investment adviser representative as the firm's employee.
B) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided.
C) Erin must register as an investment adviser since she is providing investment advice.
D) SecureMoney Broker-dealers must register as an investment adviser since one of its employees is providing investment advice.

4. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become affiliated with Mars Broker-Dealers.
Which of the three entities must report this change to the state Administrator?

A) Skip, Mars, and Venus
B) Both Skip and Venus
C) Skip and either Mars or Venus, but not both
D) Skip only

5. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) Some of the information supplied on the registration application was found to be false.
B) The applicant has never before worked in the securities industry although he has received the requisite training.
C) The person has been convicted of check kiting within the past ten years.
D) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.

Solutions: