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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A. Skip only
B. Skip, Mars, and Venus
C. Skip and either Mars or Venus, but not both
D. Both Skip and Venus

Question 2

In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry,
charging its clients for investment advice for additional remuneration. One of the firm's clients has been
advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in
these securities in the secondary market. Which of the following statements is true?

A. Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would
be a conflict of interest.
B. A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
C. A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and
receives the client's written consent before the transaction is settled.
D. A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the
part of the seller in the transaction.

Question 3

Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

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

Question 4

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 term life insurance policy
D. a debenture

Question 5

Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial
reports more frequently than:

A. twelve times a year.
B. four times a year.
C. twice a year.
D. once a year.

Solutions: