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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

A broker-dealer is required to keep his records for how long?

A. at least five years
B. at least seven years
C. broker-dealer is required to keep his records for as long as he is registered in the state.
D. at least three years

Question 2

The state official who has regulatory authority over the securities industry within the state is known as the

A. investor-protection officer.
B. secretary of state.
C. attorney-general.
D. administrator.

Question 3

Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster, who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie assures Annie.
Has Goldie violated any laws or engaged in any prohibited practices?

A. No. Goldie merely responded to a recommendation request from a client, and the recommendation is suitable since the client has a need for current income and the recommended stock pays a high dividend.
B. Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend will continue or increase.
C. Both A and B are true.
D. Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific investments. Only investment adviser representatives and investment advisers can do that.

Question 4

Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A. Friday, August 13th.
B. Wednesday, August 11th.
C. Monday, August 16th.
D. Tuesday, August 10th.

Question 5

The Administrator of a state can deny an application if

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

Solutions: