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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a variable annuity contract offered by an insurance company with offices in the state
B) a stock that is listed on the OTC Bulletin Board
C) a stock that is listed on the American Stock Exchange
D) a put option on a stock that sells in the over-the-counter market

2. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the
games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on
Craig's List. Do these "packages" meet the definition of securities, and, if so, does Kevin need to register
them with the state before offering them for sale?

A) Statements A and B are both true statements.
B) Only if Kevin will be selling the packages at or below cost are the packages not considered to be
securities, in which case Kevin will not have to register them with the state.
C) The packages are not considered to be securities since each package is merely a purchase and sale
agreement between Kevin and another person. There is no third party involved. Because they do not
meet the definition of securities, Kevin does not need to register them with the state.
D) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but
since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)

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

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

5. What criminal penalties are specified for "willful violations" of the Uniform Securities Act?

A) up to 3 years in prison or a $5,000 fine, or both.
B) license cancellation.
C) up to 5 years in prison or a $10,000 fine, or both.
D) license suspension.

Solutions: