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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following is an example of a non-issuer transaction?

A) IBM sells a new issue of bonds to an insurance company.
B) Google offers more shares of its stock for sale to the public.
C) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
D) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its
stock.

2. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A) The victim(s) lost a combined total of at least $25,000 because of the act.
B) The perpetrator willfully committed the fraudulent act.
C) The act extended across state lines.
D) The Administrator decides to send the case to criminal court.

3. A variable annuity is:

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

4. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster,
who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In
addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for
recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical
instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield
and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie
assures Annie. Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific
investments. Only investment adviser representatives and investment advisers can do that.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend
will continue or increase.
D) No. Goldie merely responded to a recommendation request from a client, and the recommendation is
suitable since the client has a need for current income and the recommended stock pays a high dividend.

5. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

Solutions: