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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) Selection I only
B) Selection III only
C) Selection I and III only
D) All of the selections would be exempt from state registration requirements under the Uniform

2. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.

A) II and III only
B) I and IV only
C) II, III and IV only
D) I only

3. Which of the following may be given to prospective investors during the "cooling off period?"

A) all of the above
B) a tombstone advertisement
C) a final prospectus
D) a copy of the registration statement

4. Price pegging refers to

A) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
D) the practice of buying large amounts of a security to drive its price up artificially.

5. In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A) none of the above. An investment adviser is never allowed to share in the capital gains earned on
B) I and II only
C) I, II, and IV only
D) I, II, and III only

Solutions: