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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following may be given to prospective investors during the "cooling off period?"

A) a tombstone advertisement
B) all of the above
C) a copy of the registration statement
D) a final prospectus

2. Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?

A) Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund.
B) Ms. Ding needs to apply for registration as an agent since she is providing financial information.
C) Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.
D) Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.

3. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are
licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey
is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer
with an office just across the state line. Don can enter a commission-splitting agreement with

A) Either Huey, Dewey, or Louie or any combination of the three
B) either Huey or Dewey or both
C) Dewey only.
D) Huey only.

4. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
B) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
C) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

5. Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A) investment adviser.
B) agent.
C) investment company.
D) broker-dealer.

Solutions: