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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Price pegging 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 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.
D) the practice of buying large amounts of a security to drive its price up artificially.

2. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state. Eager to open her new business, she has business cards printed that indicate that she is a "state-registered" investment adviser and visits some local businesses, asking them for permission to put some of her cards in their waiting rooms.
Has Julia violated any of the provisions of the Uniform Securities Act by distributing her business cards?

A) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.
B) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives notification of the acceptance of her application by the state Administrator.
C) No. The provisions of the Uniform Securities Act relate to securities, not people.
D) No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.

3. Which of the following statements is false?

A) None of the above statements is false; all are true statements.
B) A state cannot require a higher minimum net capital for investment advisers than the amount specified by the Investment Advisers Act of 1940.
C) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by the Securities Exchange Act of 1934.
D) The minimum net capital requirement for investment advisers that take custody of their clients' assets is higher than the net capital requirement for advisers who do not take custody of the assets.

4. Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.
Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?

A) No. It is not against the law to believe in oneself and promote one's ideas.
B) No. An interest in a partnership is not considered a security.
C) Yes. Even an "offer" to sell securities must not contain any untruths.
D) No. The facts don't indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.

5. As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A) "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."
B) "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
C) "The SIPC is a government agency created by an Act of Congress to combat fraud."
D) The SIPC is the FDIC of the stock and bond markets."

Solutions: