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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

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

2. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Tuesday, August 10th.
B) Wednesday, August 11th.
C) Friday, August 13th.
D) Monday, August 16th.

3. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

4. A variable annuity is:

A) a security, but is exempt from state registration.
B) not a security and, therefore, does not have to be registered with the state.
C) a security and, therefore, has to be registered with the state before it can be offered for sale.
D) not a security, but is still required to be registered with the state before it can be offered for sale.

5. Which of the following does not need to be included in an investment advisory contract?

A) a statement that the contract cannot be assigned to another party without the client's consent
B) the total amount of money that the investment adviser currently has under management
C) the term of the contract
D) the advisory fees and the formula used to compute them

Solutions: