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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would meet the requirements for an "exempt security?"

A) a $25,000 promissory note that matures in three months
B) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors
C) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors
D) a $500,000 promissory note that matures in two years

2. Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event

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

3. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC
must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

4. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.
B) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
C) Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
D) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.

5. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an
agent selling this bond, you can legitimately tell the investor that

A) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
B) the interest income the investor receives from the bond will be free from federal taxation.
C) all state general obligation bonds are also guaranteed by the federal government.
D) all of the above statements are true.

Solutions: