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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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, III, and IV only
C) I, II, III, and IV
D) II and III only

2. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:

A) Jack will need to register as a sales representative if he performs any one of the above activities.
B) participates in the selling of the new stock to individual investors.
C) represents NewCorp in any transactions with financial institutions.
D) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.

3. Moe is a registered investment adviser doing business under the name of MoeMoney Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?

A) Mary and Curly only
B) Larry and Mary only
C) Larry only
D) Larry, Mary and Curly

4. Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm.
She has decided that her firm needs a niche and has learned that a consulting group is coming to the area
and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement
Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each
attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the
niche she has been looking for and signs up herself and her three investment adviser representatives for
the program. After attending the seminar and receiving their certificates, Elizabeth and her team can

A) represent themselves as certified senior citizen investment advisers.
B) have the words "Senior-Citizen Investment Specialists" printed on their business cards.
C) indicate that they are certified by the ARP program since money was paid for their attendance.
D) do none of the above.

5. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have preferred stockholders as well as common stockholders.
B) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
C) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
D) The issuer must never have defaulted on any bond or long-term lease obligation.

Solutions: