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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,

A. Wheeler need not register in the state, and the securities are also exempt from registration.
B. Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.
C. Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
D. Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.

Question 2

In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund to continue earning a return higher than the S&P 500 Index.
Is YourMoney guilty of any security violations?

A. Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten years. The fund is obviously misstating its returns.
B. No. YourMoney properly revealed to prospective investors the fact that its higher than average returns are the result of its investment in riskier securities.
C. No. Regulations require only that the mutual fund provide charts and tables of its average annual returns, with a statement comparing the fund performance with a relevant market index. YourMoney has done this and more.
D. Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning a return higher than the S&P 500 Index." Past performance is no indication of future performance.

Question 3

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 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.
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 agent who executes the purchase and sale of stocks and bonds for his clientsD.

Question 4

Painting the tape refers to

A. the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
B. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
D. the practice of buying large amounts of a security to drive its price up artificially.

Question 5

Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives

A. I and II only
B. I and III only
C. II and IV only
D. All of the entities are subject to post-registration provisions.

Solutions: