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 is a security as defined by the Uniform Securities Act (USA)?

A) a futures option contract on wheat
B) Both A and B are securities as defined by the Uniform Securities Act.
C) a debenture
D) a term life insurance policy

2. Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and
cannot be contacted. The client holds some stock in a company that just released some information that
should make its stock price soar. Bob knows that this client would probably want to increase his holdings,
so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the
stock price did soar, and Bob's client earned a sizeable profit. Is Bob in violation of any securities acts?

A) Yes. It is against the law for an agent to open a margin account for a client without the client's
B) Yes. Bob is guilty of prohibited practice of churning.
C) No, but only because Bob's client profited from Bob's intervention. If the stock had declined in
D) No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this

3. Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?

A) The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed.
B) The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come.
C) The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time.
D) The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble.

4. Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?

A) charging commissions that are significantly higher than those charged by other broker-dealers
B) providing a client with a copy of their most recent balance sheet upon request
C) lending money to clients for them to invest
D) borrowing money from a client

5. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

Solutions: