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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A. providing a client with a copy of their most recent balance sheet upon request
B. lending money to clients for them to invest
C. borrowing money from a client
D. charging commissions that are significantly higher than those charged by other broker-dealers

Question 2

Which of the following entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act (USA)?

A. an agent who executes the purchase and sale of stocks and bonds for his clientsD.
B. None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
C. a credit union that operates within the state and provides loans to its members.
D. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies.

Question 3

The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of a security based on facts that were disclosed during the registration process unless he does so within

A. 30 days.
B. 45 days.
C. 60 days.
D. 1 year.

Question 4

Which of the following may an investment adviser not use in an attempt to solicit new clients?

A. a free financial planning kit, with no obligation on the part of the potential client
B. a free initial consultation, with no obligation on the part of the potential client
C. testimonials of satisfied clients
D. a complete list of the stocks they have recommended in the past year, even if a statement is included that states that past performance is no guarantee of future performance

Question 5

Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity

A. Only Selections II and III are not securities.
B. None of the selections listed are securities.
C. Only Selection III is not a security.
D. Selections II, III and IV are not securities.

Solutions: