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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.
B) You tell her you can enter it for her as a "market not held" order.
C) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
D) You tell her that you can do this for her, but only if you execute it as a margin transaction.

2. Registration by coordination is provided for by which of the following federal securities acts?

A) Investment Company Act of 1940
B) Securities Act of 1933
C) Investment Advisers Act of 1940
D) Securities and Exchange Act of 1934

3. Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

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

5. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) Yes. Agents are not permitted to include a picture of themselves on their business cards.
B) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
C) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
D) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.

Solutions: