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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?

A. Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
B. No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
C. No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
D. Yes. Agents are not permitted to include a picture of themselves on their business cards.

Question 2

Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A. Huey only
B. Either Huey, Dewey, or Louie or any combination of the three
C. Dewey only
D. either Huey or Dewey or both

Question 3

Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A. He needs to forward the check to the mutual fund within 24 hours.
B. He needs to forward the check to the mutual fund within 3 days.
C. He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
D. He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.

Question 4

Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A. Selection I and III only
B. Selection I only
C. All of the selections would be exempt from state registration requirements under the Uniform
D. Selection III only

Question 5

Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is acting as a dealer?

A. BigFee Investment Bankers
B. GetErDone Broker-Dealers
C. HiGrowth Corporation
D. Mr. Bigwig

Solutions: