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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Nat Smart was employed as an investment adviser representative and sold many of his clients on a
municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely
free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they
discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of
the bonds it held. Nat was as surprised as they were. Based on these facts, which of the following
statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

2. Which of the following statements would not be in violation of NASAA rules regarding the sale of
investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a
savings account at a bank, except the money market fund provides a higher return."
II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government
and is, therefore, a risk-free investment."
III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if
you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to
4 %. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to
pay the difference in the two loads."

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

3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) Yes. Agents are not permitted to include a picture of themselves on their business cards.
B) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.
C) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
D) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.

4. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,

A) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
B) Needy is in violation of securities laws by acting as an issuer of securities.
C) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
D) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.

5. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

Solutions: