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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 not be found in a tombstone advertisement?

A. the price at which the security will be offered
B. the interest rate and time to maturity of a bond issue
C. the names of the underwriters
D. the name of the issuer

Question 2

The current yield on a bond fund refers to

A. the return that the fund earned based only on the interest income it received
B. the total return that the fund has earned over the most recent 12 month period.
C. the return that the fund earned because of the capital appreciation of the securities in the fund.
D. the percentage increase in the fund's net asset value.

Question 3

Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A. An exempt security is one that need not be registered in the state in which it is sold.
B. An exempt security is any security that is being sold in an isolated non-issuer transaction.
C. An exempt security is any security being sold as a private placement.
D. An exempt security is any security that is being sold by an institutional investor, such as a bank, to
another institutional investor, such as another bank or an insurance company.

Question 4

John Ketchum is an investment adviser representative with Load Investment Advisers, which has a family
of load funds that it encourages its representatives to promote. Representatives of the firm that sell
shares in these funds to their clients receive a greater share of the load than they do if they sell load funds
offered by other firms. Based on these facts, which of the following statements is true?

A. If, after reviewing the information form a client has filled out, John believes that one of Load's funds is
an appropriate investment, John can recommend that the client invest in that fund. There is no disclosure
requirement necessary if the recommendation is a sound one that can be proved to be based on the
client's specific situation.
B. John is obligated to try to sell his clients the funds offered by Load first since he is affiliated with them
and has a fiduciary responsibility to them.
C. Both A and B are true.
D. John must provide his clients with a written disclosure that he will receive a greater remuneration for
selling shares in the Load family of funds than if he sells them shares in other funds before he provides his
clients with any investment advice.

Question 5

Which of the following does not describe a prohibited practice for investment advisers?
I. The adviser sells its non-institutional clients securities that it has issued.
II. The adviser makes a discretionary trade for a client after receiving verbal authorization only and does
not receive written authorization from the client within 10 business days of doing so.
III. The investment adviser requires an advisory fee of $300 to be paid in advance at the beginning of
each quarter.

A. I only
B. II and III only
C. I and III only
D. None of the selections describe prohibited practices.

Solutions: