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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following does not need to be included in an investment advisory contract?

A) the term of the contract
B) a statement that the contract cannot be assigned to another party without the client's consent
C) the advisory fees and the formula used to compute them
D) the total amount of money that the investment adviser currently has under management

2. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) is skilled if he is able to earn profits 95% of the time using this strategy.
C) is in violation of securities laws. Arbitrage is a prohibited activity.
D) engaged in a fraudulent activity.

3. Which of the following would meet the requirements for an "exempt security?"

A) a $500,000 promissory note that matures in two years
B) a $25,000 promissory note that matures in three months
C) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors
D) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors

4. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
B) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.
C) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.

5. A hypothecation agreement refers to

A) a document signed by a client indicating that he or she understands that some of the charts and
examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
B) an agreement signed by a client who is executing a margin transaction that allows the broker to hold
the margined securities in street name as collateral for the loan.
C) an agreement wherein a client gives his broker-dealer discretion to purchase securities that the
broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time
and price the broker-dealer believes is a good deal.
D) an agreement that a client must sign prior to executing any short sales with the broker-dealer.

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