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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered
with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support
his inventive activities. To this end, he produced and distributed a brochure advertising partnership
interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what
he had allegedly generated from his other (non-existent) inventions. Given these facts, is Jeremy guilty of
any security violations under the Uniform Securities Act (USA)?

A. No. An interest in a partnership is not considered a security.
B. Yes. Even an "offer" to sell securities must not contain any untruths.
C. No. The facts don't indicate whether any partnership interests were actually sold, and there can be no
violation unless there is a sale.
D. No. It is not against the law to believe in oneself and promote one's ideas.

Question 2

Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A. The perpetrator willfully committed the fraudulent act.
B. The Administrator decides to send the case to criminal court.
C. The act extended across state lines.
D. The victim(s) lost a combined total of at least $25,000 because of the act.

Question 3

Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,

A. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.
B. Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
C. Needy is in violation of securities laws by acting as an issuer of securities.
D. Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.

Question 4

Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has
been filed against a software manufacturer for monopolistic practices. The CFO of the company called his
broker today and sold some of the shares he owns in the company. Which of the following statements are
true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the
agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent
has knowingly executed this illegal insider trade for not having supervised the agent properly.

A. I, II, and III
B. I and II only
C. None of the statements is true.
D. I only

Question 5

The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?

A. up to 3 years in prison, a $5,000 fine, or both
B. up to 5 years in prison and a fine of $1,500,000 or both
C. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
D. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or

Solutions: