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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

An individual who represents a broker-dealer in the buying and selling of securities is called a(n):

A. agent
B. underwriter
C. issuer
D. administrator

Question 2

Iggy recently started his own company. He soon discovered it required more cash to keep it going than he had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for a promissory note on the internet, filled in the requisite information specific to the agreement he and the investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2% on the loan and to repay the principal amount at the end of 18 months. A few months after the arrangement, Iggy read an article in a small business publication that indicated that promissory notes had to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a financial institution, prior to being offered for sale. The article indicated that a seller who had sold an unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the security back, with interest. Iggy turned to the computer once again, found a form that could be used for a formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A. Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor within 30 days.
B. Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue for damages in civil court.
C. Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
D. Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6 months, Iggy is off the hook.

Question 3

n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
B. The applicant has never before worked in the securities industry although he has received the requisite training.
C. Some of the information supplied on the registration application was found to be false.
D. The person has been convicted of check kiting within the past ten years.

Question 4

Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A. He needs to forward the check to the mutual fund within 3 days.
B. He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
C. He needs to forward the check to the mutual fund within 24 hours.
D. He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.

Question 5

Which of the following statements is false?

A. The minimum net capital requirement for investment advisers that take custody of their clients' assets is higher than the net capital requirement for advisers who do not take custody of the assets.
B. A state cannot require a higher minimum net capital for broker-dealers than the amount specified by the Securities Exchange Act of 1934.
C. None of the above statements is false; all are true statements.
D. A state cannot require a higher minimum net capital for investment advisers than the amount specified by the Investment Advisers Act of 1940.

Solutions: