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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The current yield on a bond fund refers to

A) the percentage increase in the fund's net asset value.
B) the return that the fund earned because of the capital appreciation of the securities in the fund.
C) the return that the fund earned based only on the interest income it received
D) the total return that the fund has earned over the most recent 12 month period.

2. A margin transaction refers to a transaction

A) Both A and C are true statements.
B) in which a registered agent makes trades on a customer's account without that customer's knowledge.
C) that is illegal under the guidelines of the Uniform Securities Act.
D) in which the client borrows some of the money that he is investing.

3. Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC
must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.

A) I and II only
B) II and III only
C) II, III, and IV only
D) I, II, III, and IV

4. A variable annuity is:

A) a security, but is exempt from state registration.
B) not a security and, therefore, does not have to be registered with the state.
C) a security and, therefore, has to be registered with the state before it can be offered for sale.
D) not a security, but is still required to be registered with the state before it can be offered for sale.

5. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform
Securities Act (USA)?

A) Marge is a loan officer at Treadwater Bank and Trust.
B) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
C) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities
to GetErDone's clients.
D) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to
make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

Solutions: