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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should

A) call Mr. Crochety's relatives and suggest they have him examined for mental instability.
B) ignore Mr. Crochety's instruction since it is not in his best interest.
C) have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
D) require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.

2. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC
must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

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

3. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,

A) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
B) you can simply find another broker-dealer to hire you and have your license transferred to him.
C) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
D) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.

4. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
B) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
C) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
D) Ms. Swyne must forward the complaint to the state Administrator.

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

Solutions: