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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.
B) The client agrees to pay the investment adviser an hourly fee of $60.00.
C) All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.
D) The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.

2. Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective

A) until the maturity date on the bond.
B) for one full year.
C) for two full years.
D) until December 31st of the same year

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

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

4. The Uniform Securities Act (USA) is

A) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
B) federal legislation that requires all states to adopt the same registration requirements for all
C) a set of guidelines for individual states to follow when formulating their own securities' laws.
D) a body of laws governing the purchase and sale of securities within a single state.

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

Solutions: