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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following persons is required to maintain its records in accordance with state dictates and
meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser
III. investment adviser representative

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

2. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry,
charging its clients for investment advice for additional remuneration. One of the firm's clients has been
advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in
these securities in the secondary market. Which of the following statements is true?

A) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the
part of the seller in the transaction.
B) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
C) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would
be a conflict of interest.
D) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and
receives the client's written consent before the transaction is settled.

3. The Administrator of a state can deny an application if

A) any of the above is true.
B) the Administrator determines the applicant is not financially solvent.
C) the registrant has been enjoined from engaging in activities involving securities in another state.
D) the application is missing information.

4. Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A) an agent who executes the purchase and sale of stocks and bonds for his clients
B) an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
C) None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
D) a credit union that operates within the state and provides loans to its members

5. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
B) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
C) Yes. To purchase shares of their own company is considered to be illegal insider trading.
D) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.

Solutions: