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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?

A. No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
B. Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund.
C. Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund.
D. It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.

Question 2

Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A. a variable annuity contract offered by an insurance company with offices in the state
B. a stock that is listed on the OTC Bulletin Board
C. a stock that is listed on the American Stock Exchange
D. a put option on a stock that sells in the over-the-counter market

Question 3

Which of the following constitutes a non-punitive order?

A. summary license suspension
B. registration cancellation
C. All of the above are punitive orders.
D. registration denial

Question 4

Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A. 60 days.
B. 90 days.
C. one year.
D. 30 days.

Question 5

Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm.
She has decided that her firm needs a niche and has learned that a consulting group is coming to the area
and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement
Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each
attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the
niche she has been looking for and signs up herself and her three investment adviser representatives for
the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A. represent themselves as certified senior citizen investment advisers.
B. indicate that they are certified by the ARP program since money was paid for their attendance.
C. do none of the above.
D. have the words "Senior-Citizen Investment Specialists" printed on their business cards.

Solutions: