FINRA Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
D) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.

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

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

3. Blue Sky Laws are designed to:

A) protect agents, broker-dealers, and investment advisers and their representatives from spurious
allegations of fraudulent activity.
B) protect investors from fraud in their securities market transactions.
C) favor investment in companies that engage in environmentally friendly practices.
D) enhance the tourism industry within a state.

4. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
B) You tell her you can enter it for her as a "market not held" order.
C) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.
D) You tell her that you can do this for her, but only if you execute it as a margin transaction.

5. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state.
Eager to open her new business, she has business cards printed that indicate that she is a
"state-registered" investment adviser and visits some local businesses, asking them for permission to put
some of her cards in their waiting rooms. Has Julia violated any of the provisions of the Uniform Securities
Act by distributing her business cards?

A) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives
notification of the acceptance of her application by the state Administrator.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to
clients yet.
D) No. As long as her application has been submitted and is pending acceptance, Julia has not violated
any provisions of the Uniform Securities Act.

Solutions: