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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) It is never permissible for an investment adviser to borrow money from a client.
B) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
C) The investment adviser may borrow money from a client if the client is a bank.
D) The investment adviser may borrow money in either of the scenarios described in B or C.

2. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have preferred stockholders as well as common stockholders.
B) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
C) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
D) The issuer must never have defaulted on any bond or long-term lease obligation.

3. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.

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

4. Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

5. A broker-dealer is required to keep his records for how long?

A) A broker-dealer is required to keep his records for as long as he is registered in the state.
B) at least five years
C) at least seven years
D) at least three years

Solutions: