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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. While on vacation in Colorado, Massachusetts resident Ms. Jetset meets Mr. Snow, a registered
representative with a Colorado broker-dealer, on a ski lift and accepts a dinner engagement with him later
that evening, during which he obtains her cell phone number. A week later, while she is lounging around
in her Florida beach condo, he calls and interests her in a local software company that is selling its
preferred stock to investors and encourages her to buy it. Ms. Jetset tells Mr. Snow she'll think about it
and calls him after she returns to her home in Massachusetts to tell him to buy the stock for her and sends
him a check via express mail. Later, Ms. Jetset learns that the preferred stock certificate that she received
is-and always was-a worthless piece of paper, and that, in fact, no such company ever existed. Which
state Administrator has jurisdiction in this instance?
I. the Administrator of the state of Colorado
II. the Administrator of the state of Florida
III. the Administrator of the state of Massachusetts

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

2. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday
afternoon, issues that had been brewing between her and another employee of the firm came to a head,
and Maddie impulsively quit her job. At this point,

A) Maddie will have to file a new application for registration with the Administrator upon finding
employment with another broker-dealer since she is no longer considered to be a registered agent by the
state.
B) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.
C) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration
application.
D) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.

3. 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.

4. Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A) Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
B) Finn has not violated any laws or engaged in any prohibited practices.
C) Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
D) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.

5. Which of the following is an example of a non-issuer transaction?

A) Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
B) Google offers more shares of its stock for sale to the public.
C) NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its
stock.
D) IBM sells a new issue of bonds to an insurance company.

Solutions: