FINRA Series_63 - Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?

A) No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act.
B) Maybe. But it will require written consent from both your brother and your firm.
C) Yes. This is permitted since the agreement is between you and a family member.
D) Yes, as long as your brother provides your firm with his written consent.

3. Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?

A) FINRA
B) NASAA
C) SEC
D) the state administrator

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) a recent photograph of yourself
D) Form ADV

5. A variable annuity is:

A) not a security, but is still required to be registered with the state before it can be offered for sale.
B) a security and, therefore, has to be registered with the state before it can be offered for sale.
C) not a security and, therefore, does not have to be registered with the state.
D) a security, but is exempt from state registration.

Solutions: