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FINRA Series_63 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 and III only
B) I and II only
C) I only
D) All the choices describe prohibited practices in the sale of shares of investment companies.

2. 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.
B) Erin must register as an investment adviser since she is providing investment advice.
C) Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided.
D) 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.

3. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A) borrowing money from a client
B) charging commissions that are significantly higher than those charged by other broker-dealers
C) providing a client with a copy of their most recent balance sheet upon request
D) lending money to clients for them to invest

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In
the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will
be 15%. Although the actual offering price won't be set until Newbie's registration statement is approved
by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that
the stock will initially be listed on the OTC Bulletin Board. What methods for state registration does
Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Newbie may elect to register by any one of the above methods although registration by qualification
would be the most burdensome choice.
B) Method II only
C) Method I only
D) Methods I and III only

5. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless

A) the client has been a customer of the firm for at least 6 months.
B) the broker-dealer already has a margin agreement signed by the client in hand.
C) the client has a net worth of at least $500,000.
D) the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction.

Solutions: