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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be

A) Monday, September 27th.
B) Tuesday, September 28th.
C) Friday, September 24th.
D) Thursday, September 23rd.

2. Under the Uniform Securities Act (USA), which of the following statements would be disallowed?

A) An insurance company guarantees a fixed payment of $300 a month for life on an annuity it is selling.
B) The government of the U.S. guarantees a 3% interest rate, to be paid semiannually, on a new 5-year Treasury note.
C) A sales representative of GetErDone Broker-Dealers guarantees that a client can expect an average annual rate of return of 2% on a mutual fund investment the sales representative is selling, pointing to the fact that the fund has returned an average annual rate of return of 6% over the past ten years.
D) Neither the statements in Selections B or C would be allowed under the guidelines of the Uniform Securities Act.

3. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?

A) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
B) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
C) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.
D) Ms. Swyne must forward the complaint to the state Administrator.

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?

A) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
B) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
C) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
D) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.

5. Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he:

A) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B) represents NewCorp in any transactions with financial institutions.
C) participates in the selling of the new stock to individual investors.
D) Jack will need to register as a sales representative if he performs any one of the above activities.

Solutions: