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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

2. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can immediately file an appeal of the suspension in a court of law.
B) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
C) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.
D) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.

3. Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,

A) Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
B) Wheeler need not register in the state, and the securities are also exempt from registration.
C) Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
D) Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors.

4. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond
Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing
unethical if his recommendation is based on the fact that

A) the Alpha Fund has been performing poorly relative to other funds in the same category.
B) the Omega Fund has a front-end load.
C) the Alpha Fund has a back-end load.
D) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy
shares of another fund that has the same investment objective.

5. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock.
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock
C) all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position.
D) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."

Solutions: