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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi

A) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
B) is in violation of NASAA rules regarding investment company shares.
C) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
D) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.

2. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective

A) for one full year.
B) until the maturity date on the bond.
C) until December 31st of the same year
D) for two full years.

3. Which of the following would be considered an "issuer" transaction?

A) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
B) None of the above is an "issuer" transaction.
C) Kim sells an AT&T bond she holds that still has three years remaining to maturity.
D) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.

4. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the federal level, and some of it may even be tax-free at the state and local levels.
Has Stu engaged in any prohibited practices?

A) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know this and is merely guilty of stupidity.
B) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license revoked or suspended.
C) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no additional compensation for the advice.
D) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not allowed to make recommendations regarding investments to the firm's clients.

5. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This would be considered money laundering, which is highly illegal.
B) No. This is a prohibited practice known as front running.
C) No. This is a prohibited practice known as selling away.
D) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.

Solutions: