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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Noah Aull is an investment adviser representative with Canto Investment Advisers. A client has called and
told Noah that he heard about a firm that had recently completed an IPO at a party he had attended that
weekend and instructed Noah to purchase shares of the company, which was now trading on the OTC
Bulletin Board. Noah did some research and felt the company was far too risky an investment for this
client, so he did not execute the trade. This turned out to be fortunate for his client since the firm became
insolvent within six months of its IPO. Has Noah done anything wrong?

A) Yes. Noah is guilty of misappropriation and could have his license revoked.
B) Yes. Noah is guilty of making an unauthorized transaction and could have his license revoked.
C) No. Noah did what he is hired to do-manage his clients' accounts to the best of his ability.
D) Yes. Noah is guilty of not following a client's instructions and could have his license revoked.

2. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which
C) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client.
D) Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client.

3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
B) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.
C) Yes. Agents are not permitted to include a picture of themselves on their business cards.
D) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."

4. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) issuer.
B) none of the above.
C) broker-dealer.
D) agent.

5. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a stock that is listed on the American Stock Exchange
B) a stock that is listed on the OTC Bulletin Board
C) a put option on a stock that sells in the over-the-counter market
D) a variable annuity contract offered by an insurance company with offices in the state

Solutions: