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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would not appear on an order ticket?

A) the account number of the client buying or selling the security
B) the agent's commission
C) the settlement date
D) the stock symbol

2. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) Some of the information supplied on the registration application was found to be false.
B) The applicant has never before worked in the securities industry although he has received the requisite training.
C) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
D) The person has been convicted of check kiting within the past ten years.

3. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

4. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm had a professional four-color brochure printed that provides the years of industry experience of its management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30 years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for 20 of those 30 years, she was a secretary.
Has D. Vious violated any securities laws?

A) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
B) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
C) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.
D) No. Advertising brochures are not securities.

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

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

Solutions: