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FINRA Series_63 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) 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.
B) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
C) is in violation of NASAA rules regarding investment company shares.
D) 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.

2. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split
his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other
services for the agent.

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

3. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
B) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

4. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities
Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale
when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of
Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold
the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither I nor IV would be considered sales.
B) Neither III nor IV would be considered sales.
C) Neither II nor III would be considered sales.
D) Neither I nor II would be considered sales.

5. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a put option on a stock that sells in the over-the-counter market
B) a stock that is listed on the American Stock Exchange
C) a stock that is listed on the OTC Bulletin Board
D) a variable annuity contract offered by an insurance company with offices in the state

Solutions: