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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) the agreement among the underwriters themselves
B) the agreement between the issuing firm and the underwriters
C) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.
D) all sales and advertising materials that will be used in conjunction with the offering.

2. Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

3. Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?

A) the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients.
B) a statement stipulating that the contract cannot be assigned to another party without the client's
consent
C) if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period
D) a statement of the investment policy that has been agreed upon between the adviser and the client

4. Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

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

5. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
D) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.

Solutions: