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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A. Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
B. Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
C. Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
D. Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.

Question 2

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. II and III only
B. II, III, and IV only
C. I, II, III, and IV
D. I and II only

Question 3

Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A. immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
B. only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
C. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
D. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.

Question 4

A margin transaction refers to a transaction

A. in which the client borrows some of the money that he is investing.
B. that is illegal under the guidelines of the Uniform Securities Act.
C. Both A and C are true statements.
D. in which a registered agent makes trades on a customer's account without that customer's knowledge.

Question 5

Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A. Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
B. Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
C. Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.
D. Nancy can sell the stock without a problem as executrix of her aunt's estate.

Solutions: