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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the
order ticket will be

A) Tuesday, September 28th.
B) Monday, September 27th.
C) Friday, September 24th.
D) Thursday, September 23rd.

2. Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with
at least once a year?

A) the number of any complaints that each of its investment adviser representatives has received during
the period
B) the total number of agency cross transactions completed for the client during the period
C) the total amount of commissions or other compensation that the investment adviser received or
expects to receive in connection with agency cross transactions performed for the client during the period
D) both A and B

3. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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

4. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?

A) Maybe. But it will require written consent from both your brother and your firm.
B) Yes. This is permitted since the agreement is between you and a family member.
C) No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act.
D) Yes, as long as your brother provides your firm with his written consent.

5. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?

A) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
B) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
C) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.
D) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.

Solutions: