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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Painting the tape refers to

A) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
B) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.

2. Most individual state securities laws today are based on:

A) the Uniform Securities Act of 1956.
B) the Uniform Securities Act of 2002.
C) the National Securities Markets Improvement Act of 1996.
D) the Gramm-Leach-Bliley Act of 1999.

3. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) December 31st of this year.
B) January 15th of the new year.
C) January 30th of the new year.
D) the anniversary date of the original issue date on your license.

4. In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser has a column in which the publisher makes specific investment recommendations for clients who write in for advice.
About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.

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

5. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest $5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in U.S.
government bonds; maybe even more so, given the magnitude of the government deficit these days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with semiannual payments, and the client received $300 in interest payments before the firm went belly-up at the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees and court costs are expected to be $1,000. When the investment is a bond, the state has recently been assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment guideline in civil penalties.
The maximum the client can expect in civil penalties is

A) $6,200.
B) $5,900.
C) $5,200.
D) $6,000.

Solutions: