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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his
books each year so that the accountant can report his findings to the state Administrator.

A. I and III only
B. I, II and III
C. I only
D. I and II only

Question 2

In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

A. 1 year.
B. 2 years.
C. 10 years.
D. 5 years.

Question 3

Which of the following statements best explains the difference between an agent and a broker-dealer?

A. A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B. An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.
C. Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.
D. Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.

Question 4

George Geek is a computer programmer who tired of working for others and started his own company. He
convinced forty investors that he could design software that would rival Microsoft, and sold them each a
1 0% partnership interest in his firm for $25,000. He designed and printed up the partnership certificates
himself. George told the investors that he had a product that was on the verge of being marketable and
that when it did-within the next two months-revenues would pour into the company, and he would begin
paying dividends. He told them they could expect a 20% return on their money this year, with even higher
returns in the years to come. As it turned out, George wasn't quite the programmer he thought he was,
and he wasn't able to get all the bugs out of the program to make it marketable within the promised two
months. Within a year, George had tired of the project and was too busy picking up chicks in his new
Corvette when he wasn't on the island of St. Bart overseeing the construction of his new beach
mansion-and picking up chicks. His activities, of course, were financed by the extremely generous
"salary" he paid himself from the investors' monies. Under the Uniform Securities Act, do the investors
have any civil claims against George?

A. Yes. They can sue George for the return of their original investment, plus interest. George would also
have to pay their court costs and attorneys' fees and any amounts assessed by the court for "pain and
suffering" on the parts of the clients.
B. Yes. They can sue George for the return of their original investment, plus interest. George would
C. No. It wasn't George's fault that he was unable to do what he promised. Even if it wasn't for
D. No. The Uniform Securities Act only involves securities laws and partnership interests are not

Question 5

Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A. Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
B. Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
C. No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D. Yes. The agent who executes your purchase order has engaged in illegal insider trading.

Solutions: