FINRA Series63 : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following constitutes a non-punitive order?

A) registration cancellation
B) summary license suspension
C) registration denial
D) All of the above are punitive orders.

2. Which of the following persons is required to maintain its records in accordance with state dictates and meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser III. investment adviser representative

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

3. If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?

A) five years
B) seven years
C) one year
D) two years

4. Which of the following would not appear on a trade confirmation?

A) the client's account number
B) the commission
C) All of the above items appear on a trade confirmation.
D) the settlement date

5. Which of the following would be considered an "issuer" transaction?

A) Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
B) Kim sells an AT&T bond she holds that still has three years remaining to maturity.
C) None of the above is an "issuer" transaction.
D) Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.

Solutions: