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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

A) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
B) Marge is a loan officer at Treadwater Bank and Trust.
C) Juan 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) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

2. Which of the following is not a prohibited practice for a broker-dealer?

A) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
B) waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
C) executing a trade for an account holder based on instructions from the account holder's spouse
D) recommending a security to a new client without first ascertaining that client's level of risk tolerance

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

4. After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A) U-4
B) proof that you meet the state's minimum net capital requirement
C) Form ADV
D) a recent photograph of yourself

5. 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) Thursday, September 23rd.
C) Friday, September 24th.
D) Monday, September 27th.

Solutions: