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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless

A. the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.
B. the client has been a customer of the firm for at least 6 months.
C. the broker-dealer already has a margin agreement signed by the client in hand.
D. the client has a net worth of at least $500,000.

Question 2

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

A. a free financial planning kit, with no obligation on the part of the potential client
B. 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
C. a free initial consultation, with no obligation on the part of the potential client
D. testimonials of satisfied clients

Question 3

on No: 239
A tombstone advertisement is

A. the only type of advertisement that an investment advisory firm is allowed to use.
B. the announcement of a new security that may become available for purchase.
C. an offer to sell a new security.
D. an offer to sell a new security that is being issued by an Arizona firm.

Question 4

Which of the following statements about agents is (are) false?

A. When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.
B. All of the above are false statements.
C. If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
D. An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.

Question 5

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, II, and III
D. I only

Solutions: