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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Rich Quick is a broker-dealer licensed in the state of Massachusetts and has offices only within the state. Two of Rich Quick's clients regularly vacation in Florida during the winter months, and Rich Quick executes trades for them when they call him from out-of-state.
Based on these facts,
I. Rich Quick needs to register as a broker-dealer in the state of Florida as well.
II. Rich Quick needs to register only as an agent in the state of Florida.
III. Rich Quick needs to establish an office in the state of Florida in order to transact business.
IV. Rich Quick need not register in Florida.

A) Statements I and III are true.
B) Statements II and III are true.
C) Only Statement I is true.
D) Only Statement IV is true.

2. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a bond guaranteed by the Canadian government
C) a stock listed on the Tokyo Stock Exchange
D) a bond issued by another state's employees' credit union

3. Which of the following statements is false?

A) A state cannot require a higher minimum net capital for investment advisers than the amount specified by the Investment Advisers Act of 1940.
B) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by the Securities Exchange Act of 1934.
C) None of the above statements is false; all are true statements.
D) The minimum net capital requirement for investment advisers that take custody of their clients' assets is higher than the net capital requirement for advisers who do not take custody of the assets.

4. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.
B) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
C) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
D) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.

5. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial reports more frequently than:

A) once a year.
B) four times a year.
C) twelve times a year.
D) twice a year.

Solutions: