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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
C) Both A and C can be advertised as "no load" funds.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.

2. Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide
investment recommendations as well as other financial news items to the general public. Rich hopes that
his newsletter will achieve nationwide circulation within a few months. Which of the following statements
is true?

A) Rich may be exempt from registering as an investment adviser if he is a lawyer,accountant, engineer,
or teacher. Otherwise, he will have to register.
B) Rich will have to register as an investment adviser since his publication will include investment
recommendations
C) Rich will not have to register as an investment adviser since he is publishing a legitimate financial
newsletter for distribution to the general public.
D) Rich will have to register as an investment adviser only if he sells this newsletter to the public.If the
publication is to be distributed free of charge, he will not have to register.

3. A broker-dealer is required to keep his records for how long?

A) at least five years
B) at least seven years
C) A broker-dealer is required to keep his records for as long as he is registered in the state.
D) at least three years

4. Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A) Only Selections II and III are not securities.
B) Only Selection III is not a security.
C) None of the selections listed are securities.
D) Selections II, III and IV are not securities.

5. 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) an agent who executes the purchase and sale of stocks and bonds for his clients
B) 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.
C) a credit union that operates within the state and provides loans to its members
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

Solutions: