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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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, II, and III
B) I only
C) III only
D) I and II only

2. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A) Skip, Mars, and Venus
B) Skip and either Mars or Venus, but not both
C) Both Skip and Venus
D) Skip only

3. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless

A) the client has been a customer of the firm for at least 6 months.
B) the client has a net worth of at least $500,000.
C) the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction.
D) the broker-dealer already has a margin agreement signed by the client in hand.

4. Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?

A) Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
B) Fly-By-Night is required to shred all documentation of client transactions and communications.
C) Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years.
D) Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years.

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 needs to send notice to the state Administrator informing him of her extracurricular activity.
C) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
D) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.

Solutions: