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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he:

A) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B) represents NewCorp in any transactions with financial institutions.
C) participates in the selling of the new stock to individual investors.
D) Jack will need to register as a sales representative if he performs any one of the above activities.

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

3. Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company

A) All of the selections would be exempt from state registration requirements under the Uniform
B) Selection I and III only
C) Selection I only
D) Selection III only

4. You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent.
It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on September 30th next year.
B) the full annual fee, and your license will expire on December 31st next year.
C) the full annual fee, and your license will expire on December 31st this year.
D) one-fourth of the annual fee required since only one quarter of the year remains.

5. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an agent selling this bond, you can legitimately tell the investor that

A) the interest income the investor receives from the bond will be free from federal taxation.
B) all of the above statements are true.
C) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
D) all state general obligation bonds are also guaranteed by the federal government.

Solutions: