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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

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

2. BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able
to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of
its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them.
BondsRUs is guilty of

A) fraud.
B) nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are
willing to pay.
C) overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is
unwarranted.
D) both B and C.

3. Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had
recommended to her. What must the adviser do in order to avoid being considered the custodian of this
account and, thereby, subject to some strict requirements, including a higher minimum net capital?

A) He needs to get a written statement from Ms. Fused, addressed to the state Administrator,indicating it
was her mistake.
B) He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
C) He needs to forward the check to the mutual fund within 24 hours.
D) He needs to forward the check to the mutual fund within 3 days.

4. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state.
Eager to open her new business, she has business cards printed that indicate that she is a
"state-registered" investment adviser and visits some local businesses, asking them for permission to put
some of her cards in their waiting rooms. Has Julia violated any of the provisions of the Uniform Securities
Act by distributing her business cards?

A) No. The provisions of the Uniform Securities Act relate to securities, not people.
B) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to
clients yet.
C) No. As long as her application has been submitted and is pending acceptance, Julia has not violated
any provisions of the Uniform Securities Act.
D) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives
notification of the acceptance of her application by the state Administrator.

5. Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?

A) the agreement among the underwriters themselves
B) all sales and advertising materials that will be used in conjunction with the offering.
C) The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state.
D) the agreement between the issuing firm and the underwriters

Solutions: