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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following funds can an agent indicate is "no load?"

A) a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.
B) Both A and C can be advertised as "no load" funds.
C) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
D) a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.

2. Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts
is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax
dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the
client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the
client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the
broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written
discretionary authority from the client two days later, prior to the settlement date.

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

3. AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to
lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that
answers calls in the evenings and on the weekends when its offices are closed. The service informs the
caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an
investment adviser representative. Is this a violation of any securities laws?

A) No. The firm's phones are manned 24/7, so it hasn't lied.
B) It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser
representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
C) No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
D) Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the
solicitation of clients as well as in advising clients.

4. Which of the following entities must sign a "consent to service of process," thereby allowing the
Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

5. Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?

A) Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments.
B) Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable.
C) Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
D) No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.

Solutions: