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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?

A) Sam has 45 days in which to file an appeal with the attorney general.
B) Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements.
C) Sam can move to another state and apply for registration as an investment adviser there.
D) Sam has 60 days to file an appeal of the decision in a court of law.

2. Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?

A) a margin agreement if the purchase is being made on margin
B) a final prospectus
C) a preliminary prospectus
D) a hypothecation agreement

3. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a stock listed on the Tokyo Stock Exchange
C) a bond issued by another state's employees' credit union
D) a bond guaranteed by the Canadian government

4. Which of the following may an investment adviser not use in an attempt to solicit new clients?

A) a free initial consultation, with no obligation on the part of the potential client
B) testimonials of satisfied clients
C) a free financial planning kit, with no obligation on the part of the potential client
D) a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance

5. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?

A) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending.
B) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
C) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts.
D) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.

Solutions: