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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person

A) can continue business as usual pending the resolution of the appeal.
B) is considered to have a revoked license until the courts rule otherwise.
C) must notify the Administrator of the state that it has appealed the decision.
D) Both B and C are true statements.

2. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) National Securities Markets Improvement Act of 1996 (NSMIA.)
B) Gramm-Leach-Bliley Act of 1999 (GLBA.)
C) Uniform Securities Act (USA.)
D) National Conference of Commissioners on Uniform State Laws (NCCUSL.)

3. Which of the following may be given to prospective investors during the "cooling off period?"

A) a final prospectus
B) a tombstone advertisement
C) all of the above
D) a copy of the registration statement

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

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

5. Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi

A) is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
B) is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
C) will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
D) is in violation of NASAA rules regarding investment company shares.

Solutions: