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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. No: 192
The maximum monetary civil liability that a person who has violated a securities law can be expected to pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.

2. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Friday, September 17th.
B) Saturday, September 18th.
C) Thursday, September 16th.
D) Monday, September 20th.

3. An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees

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

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

5. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have preferred stockholders as well as common stockholders.
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
C) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
D) The issuer must never have defaulted on any bond or long-term lease obligation.

Solutions: