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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding an open-end investment company is not true?

A) Its shares are bought and sold on exchange floors.
B) Its shares may sell for either net asset value or greater than net asset value, but not below
C) Its securities are federal covered.
D) Its shares are bought and sold through the company.

2. Which of the following is an example of commingling?

A) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
B) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
C) All of the above are examples of commingling.
D) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.

3. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.
B) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.
C) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
D) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.

4. In which of the following instances is it permissible for an investment adviser to borrow money from a
client?

A) It is never permissible for an investment adviser to borrow money from a client.
B) The investment adviser may borrow money in either of the scenarios described in B or C.
C) The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
D) The investment adviser may borrow money from a client if the client is a bank.

5. Which of the following is not considered to be a person, as defined by the Uniform Securities Act?

A) a law firm that is organized as a partnership
B) a corporation
C) a school district
D) a 16-year old cheerleader

Solutions: