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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st next year.
B) the full annual fee, and your license will expire on December 31st this year.
C) the full annual fee, and your license will expire on September 30th next year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

2. The state official who has regulatory authority over the securities industry within the state is known as the

A) secretary of state.
B) attorney-general.
C) investor-protection officer.
D) administrator.

3. When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return
information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent
III. information regarding the investment adviser used by the fund
IV. an explanation of the various loads and fees outlined in the fund's prospectus

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

4. A bond issue has recently been registered with the state Administrator. Which of the following statements
are true?

A) The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for
sale in the future will be able be sold after the issuer executes a notice filing.
B) Both A and B are true statements.
C) The bond may now be offered for sale in the state.
D) An investor can feel secure in buying the bond because it has recently been registered, which means
that the state Administrator finds it to be of sound quality at this point in time.

5. Which of the following would not be found in a tombstone advertisement?

A) the names of the underwriters
B) the name of the issuer
C) the interest rate and time to maturity of a bond issue
D) the price at which the security will be offered

Solutions: