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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

2. In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A) 5 years.
B) 1 year.
C) 2 years.
D) 10 years.

3. Which of the following would be an unsuitable recommendation for your 68-year-old client?

A) a Treasury Inflation Protected Security (TIPS)
B) an S&P 500 Index mutual fund
C) a deferred annuity
D) a high quality corporate bond fund

4. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is acting as a dealer?

A) Mr. Bigwig
B) GetErDone Broker-Dealers
C) HiGrowth Corporation
D) BigFee Investment Bankers

5. The current yield on a bond fund refers to

A) the percentage increase in the fund's net asset value.
B) the return that the fund earned based only on the interest income it received
C) the return that the fund earned because of the capital appreciation of the securities in the fund.
D) the total return that the fund has earned over the most recent 12 month period.

Solutions: