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- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Q & A: 255 Questions and Answers
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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
| Topic 2: Regulatory Provisions and Compliance | - Enforcement actions and penalties - Recordkeeping and administrative provisions - Ethical practices and fiduciary obligations |
| Topic 3: Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on
abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to
be overpriced based on its yield and buying a bond that is identical in almost every respect except for the
price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time
when he does this. Rich Quick
- A. engaged in a fraudulent activity.
- B. is in violation of securities laws. Arbitrage is a prohibited activity.
- C. is trading on insider information, which is a violation of securities laws.
- D. is skilled if he is able to earn profits 95% of the time using this strategy.
Answer: D
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Question #2
Under the 2002 Uniform Securities Act, registration by coordination allows:
- A. both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue. - B. issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale. - C. securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale. - D. federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
Answer: C
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Question #3
Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of
years. The business needs more cash to support this growth and has decided to issue some promissory
notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three
individuals to help them sell these notes. These individuals will earn a commission based on the notes
they sell. Given these facts, which of the following is true?
- A. Either the firm must register the notes with the state, or the individuals that are hired to sell the notes
must be registered as agents with the state, but not both. - B. The notes must be registered with the state, but the individuals hired to sell them are not required to be
registered. - C. The notes must be registered with the state, and the three individuals hired to sell the notes must be
registered as agents with the state. - D. Neither the notes nor the individuals selling the notes need to be registered with the state.
Answer: C
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Question #4
Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?
- A. An exempt security is any security that is being sold in an isolated non-issuer transaction.
- B. An exempt security is any security being sold as a private placement.
- C. An exempt security is one that need not be registered in the state in which it is sold.
- D. An exempt security is any security that is being sold by an institutional investor, such as a bank, to
another institutional investor, such as another bank or an insurance company.
Answer: C
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Question #5
Under the NASAA Model Rules, the statute of limitations for civil liabilities is
- A. the earlier of two years after the discovery of the facts and four years after the violation.
- B. three years after the discovery of the facts and four years after the violation, whichever is greater.
- C. the earlier of two years after the discovery of facts and three years after the sale.
- D. the earlier of three years after the discovery of facts and five years after the violation.
Answer: C
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