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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler need not register in the state, and the securities are also exempt from registration.
B) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.
C) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
D) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.

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

3. A "notice filing" refers to

A) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.
B) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.
C) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
D) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.

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

5. Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A) I and II only
B) All of the entities are subject to post-registration provisions.
C) II and IV only
D) I and III only

Solutions: