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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clientsD.
B) None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
C) a credit union that operates within the state and provides loans to its members.
D) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies.

2. A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.

A) I and III only
B) I and II only
C) I, II, and III
D) II and III only

3. No: 192
The maximum monetary civil liability that a person who has violated a securities law can be expected to pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.

4. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) Uniform Securities Act (USA.)
B) National Securities Markets Improvement Act of 1996 (NSMIA.)
C) National Conference of Commissioners on Uniform State Laws (NCCUSL.)
D) Gramm-Leach-Bliley Act of 1999 (GLBA.)

5. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this particular fund to effect purchases or sales of the fund shares.
Can Noah execute the order anyway?

A) No. This is a prohibited practice known as front running.
B) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
C) No. This would be considered money laundering, which is highly illegal.
D) No. This is a prohibited practice known as selling away.

Solutions: