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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A. Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
B. Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
C. Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
D. Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.

Question 2

Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in Switch Advisory.
Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.

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

Question 3

Which of the following is an example of a non-issuer transaction?

A. Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
B. Google offers more shares of its stock for sale to the public.
C. IBM sells a new issue of bonds to an insurance company.
D. NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its stock.

Question 4

The Administrator of a state can deny an application if

A. the Administrator determines the applicant is not financially solvent.
B. the registrant has been enjoined from engaging in activities involving securities in another state.
C. the application is missing information.
D. any of the above is true.

Question 5

Which of the following orders can an Administrator issue without providing prior notice?

A. cease and desist
B. license suspension
C. license revocation
D. license denial

Solutions: