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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) before the beginning of the next quarter.
B) within a week's time.
C) by the close of business on the next business day.
D) before the end of the month.

3. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100
billion dollars under management. A client has filed a complaint asserting that the firm has been involved
in fraudulent activities. In this case,

A) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered
investment adviser, it need not respond to any state-issued requests for information.
B) Gazillions only has to answer to the state in which the complaint was filed.
C) Gazillions has to answer to both the SEC and the state in which the complaint was filed.
D) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it
has under management.

4. Cal Turner calls his client and recommends that the client sell his shares in the Alpha High Quality Bond
Fund and use the proceeds to buy shares in the Omega High Quality Bond Fund. Cal has done nothing
unethical if his recommendation is based on the fact that

A) It would always be unethical for Cal to recommend that a client sell shares in one fund in order to buy
shares of another fund that has the same investment objective.
B) the Alpha Fund has been performing poorly relative to other funds in the same category.
C) the Alpha Fund has a back-end load.
D) the Omega Fund has a front-end load.

5. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Monday, September 20th.
B) Thursday, September 16th.
C) Saturday, September 18th.
D) Friday, September 17th.

Solutions: