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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.
B) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
C) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
D) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.

2. Which of the following orders can an Administrator issue without providing prior notice?

A) license revocation
B) license denial
C) cease and desist
D) license suspension

3. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) None of the selections are prohibited practices.
B) II and III only
C) I and III only
D) III only

4. Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license
of a person?

A) The applicant has never before worked in the securities industry although he has received the requisite
training.
B) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning,
according to written client complaints.
C) Some of the information supplied on the registration application was found to be false.
D) The person has been convicted of check kiting within the past ten years.

5. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) issuer.
B) agent.
C) broker-dealer.
D) none of the above.

Solutions: