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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within

A. 10 business days.
B. 14 business days.
C. 45 days.
D. 30 days.

Question 2

Which of the following statements regarding an open-end investment company is not true?

A. Its shares are bought and sold on exchange floors.
B. Its shares are bought and sold through the company.
C. Its shares may sell for either net asset value or greater than net asset value, but not below
D. Its securities are federal covered.

Question 3

Blue Sky Laws are designed to:

A. protect agents, broker-dealers, and investment advisers and their representatives from spurious allegations of fraudulent activity.
B. protect investors from fraud in their securities market transactions.
C. enhance the tourism industry within a state.
D. favor investment in companies that engage in environmentally friendly practices.

Question 4

Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the call.
Should you execute this transaction?

A. Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.
B. Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as a birth certificate.
C. No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the power-of-attorney to trade on his account.
D. Yes, as long as the son is at least 21 years old and not a minor child.

Question 5

n No: 85
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. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
D. Some of the information supplied on the registration application was found to be false.

Solutions: