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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
B) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
C) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
D) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.

2. A hypothecation agreement refers to

A) an agreement that a client must sign prior to executing any short sales with the broker-dealer.
B) a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
C) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
D) an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.

3. Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

A) All of the above documents must be included when filing to register a security with the state.
B) copies of the underwriter agreements
C) a copy of any indenture applying to the security being registered
D) a copy of the firm's articles of incorporation and bylaws, or the equivalent

4. Which of the following may be given to prospective investors during the "cooling off period?"

A) a final prospectus
B) a tombstone advertisement
C) all of the above
D) a copy of the registration statement

5. 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, and IV
D) I, II, III, and IV

Solutions: