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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment
adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has
offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in
Switch Advisory. Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.

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

2. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $5,900.
B) $6,000.
C) $5,200.
D) $6,200.

3. Painting the tape refers to

A) 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.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.
C) 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.
D) the practice of buying large amounts of a security to drive its price up artificially.

4. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a law firm that is organized as a partnership
B) a school district
C) a corporation
D) a 16-year old cheerleader

5. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
B) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
C) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
D) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.

Solutions: