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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

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

Question 2

Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A. immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
B. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
C. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
D. only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.

Question 3

Which of the following is not a method that can be used to register securities with the state?

A. registration by coordination
B. registration by exception
C. registration by notification
D. registration by qualification

Question 4

Which of the following funds can an agent indicate is "no load?"

A. Both A and C can be advertised as "no load" funds.
B. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund.
C. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund.
D. a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares.

Question 5

Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly
refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her
commissions from these transactions to the parish. Is Carrie doing anything illegal?

A. No. Carrie is just donating some of her commissions back to the church, and transactions with
B. It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C. It depends. As long as the church parishioners are aware of the arrangement between Carrie and
D. Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer

Solutions: