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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?

A) Mary and Curly only
B) Larry, Mary and Curly
C) Larry and Mary only
D) Larry only

2. According to the NASAA Model Rules, which of the following institutions would not be considered a qualified custodian?

A) a broker-dealer that is registered with the state
B) a bank that is insured by a private, state-sponsored insurance company
C) a savings institution that is insured by the FDIC
D) a foreign financial institution

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

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

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) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
C) 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.
D) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.

Solutions: