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:

Question 1

While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called
SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar
mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his
home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he
learned trades in the over-the-counter market. Fast Eddie, a registered agent with his broker-dealer,
discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast
Eddie nor his broker-dealer are registered to do business in either of those states. Under these
circumstances,

A. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is an unsolicited transaction.
B. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt
transaction because it is a private placement.
C. Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and
negotiate a finder's fee for referring Mr. Moneybags to them.
D. Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker
are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in
the state of Massachusetts.

Question 2

Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A. Sam has 60 days to file an appeal of the decision in a court of law.
B. Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
C. Sam has 45 days in which to file an appeal with the attorney general.
D. Sam can move to another state and apply for registration as an investment adviser there.

Question 3

Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)

A. investment company.
B. broker-dealer.
C. investment adviser.
D. agent.

Question 4

Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A. Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
B. Ina can immediately file an appeal of the suspension in a court of law.
C. Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.
D. Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.

Question 5

The Uniform Securities Act (USA) is

A. a set of guidelines for individual states to follow when formulating their own securities' laws.
B. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
C. federal legislation that requires all states to adopt the same registration requirements for all
D. a body of laws governing the purchase and sale of securities within a single state.

Solutions: