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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser
has a column in which the publisher makes specific investment recommendations for clients who write in
for advice. About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

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

2. Which of the following would be considered an "issuer" transaction?

A) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
B) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign
securities.
C) Kim sells an AT&T bond she holds that still has three years remaining to maturity.
D) None of the above is an "issuer" transaction.

3. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial
reports more frequently than:

A) once a year.
B) twelve times a year.
C) twice a year.
D) four times a year.

4. Which of the following does not need to be included in an investment advisory contract?

A) the term of the contract
B) a statement that the contract cannot be assigned to another party without the client's consent
C) the total amount of money that the investment adviser currently has under management
D) the advisory fees and the formula used to compute them

5. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a
job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is
true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has
done nothing inappropriate.
B) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
C) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
D) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.

Solutions: