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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,

A) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
B) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
C) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.

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

3. 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) executing a trade for an account holder based on instructions from the account holder's spouse
C) recommending a security to a new client without first ascertaining that client's level of risk tolerance
D) 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

4. You have recently discovered that a security you purchased has not been registered with the state, nor is it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) five years.
B) three years from discovery or five years from the event, whichever comes first.
C) one year from discovery.
D) two years from discovery or three years from the event, whichever comes first.

5. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A) a margin agreement if the purchase is being made on margin
B) a hypothecation agreement
C) a preliminary prospectus
D) a final prospectus

Solutions: