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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An investment adviser may not

A) also be registered as a broker-dealer in the state.
B) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
D) take a position-either long or short-in securities in which any of its clients have a position.

2. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.
B) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
C) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
D) Yes. To purchase shares of their own company is considered to be illegal insider trading.

3. Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?

A) a debenture
B) a certificate of deposit (CD)
C) a put option
D) an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.

4. Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?

A) Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
B) Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years.
C) Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years.
D) Fly-By-Night is required to shred all documentation of client transactions and communications.

5. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

Solutions: