FINRA Uniform Securities Agent State Law Examination - Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 final prospectus
C) a preliminary prospectus
D) a hypothecation agreement

2. D. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm
had a professional four-color brochure printed that provides the years of industry experience of its
management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30
years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for
2 0 of those 30 years, she was a secretary. Has D. Vious violated any securities laws?

A) No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.
B) Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
C) No. Advertising brochures are not securities.
D) No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.

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

A) executing a trade for an account holder based on instructions from the account holder's spouse
B) requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name"
C) 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
D) recommending a security to a new client without first ascertaining that client's level of risk tolerance

4. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
B) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
C) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
D) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.

5. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state.
Eager to open her new business, she has business cards printed that indicate that she is a
"state-registered" investment adviser and visits some local businesses, asking them for permission to put
some of her cards in their waiting rooms. Has Julia violated any of the provisions of the Uniform Securities
Act by distributing her business cards?

A) No. As long as her application has been submitted and is pending acceptance, Julia has not violated
any provisions of the Uniform Securities Act.
B) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to
clients yet.
C) No. The provisions of the Uniform Securities Act relate to securities, not people.
D) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives
notification of the acceptance of her application by the state Administrator.

Solutions: