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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial
reports more frequently than:

A) once a year.
B) twelve times a year.
C) four times a year.
D) twice a year.

2. While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called
SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar
mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his
home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he
learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer,
discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast
Eddie nor his broker-dealer are registered to do business in either of those states. Under these
circumstances,

A) Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker
are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in
the state of Massachusetts.
B) Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and
negotiate a finder's fee for referring Mr. Moneybags to them.
C) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is an unsolicited transaction.
D) Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is a private placement.

3. Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?

A) The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come.
B) The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time.
C) The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed.
D) The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble.

4. Which of the following is an example of commingling?

A) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
B) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
C) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
D) All of the above are examples of commingling.

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

Solutions: