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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

Question 2

Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered
with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support
his inventive activities. To this end, he produced and distributed a brochure advertising partnership
interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what
he had allegedly generated from his other (non-existent) inventions. Given these facts, is Jeremy guilty of
any security violations under the Uniform Securities Act (USA)?

A. No. The facts don't indicate whether any partnership interests were actually sold, and there can be no
violation unless there is a sale.
B. No. An interest in a partnership is not considered a security.
C. Yes. Even an "offer" to sell securities must not contain any untruths.
D. No. It is not against the law to believe in oneself and promote one's ideas.

Question 3

Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A. As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
B. Ms. Swyne must forward the complaint to the state Administrator.
C. Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
D. Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.

Question 4

Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A. a stock that is listed on the OTC Bulletin Board
B. a stock that is listed on the American Stock Exchange
C. a put option on a stock that sells in the over-the-counter market
D. a variable annuity contract offered by an insurance company with offices in the state

Question 5

Which of the following may an investment adviser not use in an attempt to solicit new clients?

A. testimonials of satisfied clients
B. a free financial planning kit, with no obligation on the part of the potential client
C. a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
D. a free initial consultation, with no obligation on the part of the potential client

Solutions: