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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

A. II and III only
B. II only
C. III only
D. I only

Question 2

Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?

A. All of the above documents must be included when filing to register a security with the state.
B. a copy of any indenture applying to the security being registered
C. copies of the underwriter agreements
D. a copy of the firm's articles of incorporation and bylaws, or the equivalent

Question 3

Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm.
When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public. In this scenario, which party is the issuer?

A. GetErDone Broker-Dealers
B. HiGrowth Corporation
C. BigFee Investment Bankers
D. Mr. Bigwig

Question 4

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

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

Question 5

Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.

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

Solutions: