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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Which of the following would be an unsuitable recommendation for your 68-year-old client?

A. an S&P 500 Index mutual fund
B. a Treasury Inflation Protected Security (TIPS)
C. a deferred annuity
D. a high quality corporate bond fund

Question 2

It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

A. I, II, and III
B. I, III, and IV
C. I, II, and IV
D. I, II, III, and IV

Question 3

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

Question 4

Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A. a credit union that operates within the state and provides loans to its members
B. an agent who executes the purchase and sale of stocks and bonds for his clients
C. None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
D. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies

Question 5

Price pegging refers to

A. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
B. 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.
C. 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.
D. the practice of buying large amounts of a security to drive its price up artificially.

Solutions: