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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) All of the selections would be exempt from state registration requirements under the Uniform
B) Selection III only
C) Selection I and III only
D) Selection I only

2. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to do something about it. They each decide to make significantly large purchases of their firm's stock in order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the higher price down the road and profit from the transaction. You are a broker-dealer for the firm's executives.
Are Shady's executives planning to do anything illegal?

A) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to purchase shares of their firm's stock.
B) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in order to try to manipulate the price of the stock.
C) Yes. To purchase shares of their own company is considered to be illegal insider trading.
D) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the stock price up and put profits in their pockets.

3. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This is a prohibited practice known as selling away.
B) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
C) No. This is a prohibited practice known as front running.
D) No. This would be considered money laundering, which is highly illegal.

4. In its prospectus, the YourMoney Mutual Fund provides charts and tables of its average annual return over the past year, three years, five years, and ten years. The fund's return has indeed been phenomenal over this time period, beating the S&P 500 Index by at least 15%. The prospectus states that this is because the fund invests in securities that are riskier and that, therefore, an investor can expect the fund to continue earning a return higher than the S&P 500 Index.
Is YourMoney guilty of any security violations?

A) No. YourMoney properly revealed to prospective investors the fact that its higher than average returns are the result of its investment in riskier securities.
B) No. Regulations require only that the mutual fund provide charts and tables of its average annual returns, with a statement comparing the fund performance with a relevant market index. YourMoney has done this and more.
C) Yes. YourMoney is guilty of fraud in claiming that "an investor can expect the fund to continue earning a return higher than the S&P 500 Index." Past performance is no indication of future performance.
D) Yes. There is no way the fund could have beaten the S&P 500 Index by at least 15% over the past ten years. The fund is obviously misstating its returns.

5. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered with the SEC and in each state through which the railroad passes.
B) they must be registered in every state in which the bonds will be sold to investors.
C) they must be registered with the SEC since railroads are involved in interstate commerce.
D) None of the above statements is true.

Solutions: