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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following would meet the requirements for an "exempt security?"

A) commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors
B) a $500,000 promissory note that matures in two years
C) a $25,000 promissory note that matures in three months
D) commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors

2. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model
Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify
a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the
purchases and receives the requisite signed discretionary authorization from the client before the
settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written
margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on
margin. GetErDone has the client come into the office to sign a properly executed margin agreement prior
to effecting the transaction.

A) III only
B) I and III only
C) II and III only
D) None of the selections are prohibited practices.

3. Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic
IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a
municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the
federal level, and some of it may even be tax-free at the state and local levels. Has Stu engaged in any
prohibited practices?

A) Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not
allowed to make recommendations regarding investments to the firm's clients.
B) No. Although Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
C) No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity.
D) Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended.

4. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
B) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.
C) Ina can immediately file an appeal of the suspension in a court of law.
D) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.

5. Which of the following conditions is necessary for an act involving securities fraud to be considered
criminal and subject to criminal penalties?

A) The victim(s) lost a combined total of at least $25,000 because of the act.
B) The act extended across state lines.
C) The Administrator decides to send the case to criminal court.
D) The perpetrator willfully committed the fraudulent act.

Solutions: