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 have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay

A) one-fourth of the annual fee required since only one quarter of the year remains.
B) the full annual fee, and your license will expire on December 31st next year.
C) the full annual fee, and your license will expire on December 31st this year.
D) the full annual fee, and your license will expire on September 30th next year.

2. Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?

A) Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both.
B) Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
C) Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state.
D) Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.

3. The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is

A) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment.
B) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award.
C) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment.
D) the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment.

4. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a stock that is listed on the OTC Bulletin Board
B) a stock that is listed on the American Stock Exchange
C) a variable annuity contract offered by an insurance company with offices in the state
D) a put option on a stock that sells in the over-the-counter market

5. Which of the following is not a method that can be used to register securities with the state?

A) registration by coordination
B) registration by notification
C) registration by exception
D) registration by qualification

Solutions: