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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Which of the following actions is the Administrator of a state empowered to take?

A. impose civil penalties in cases of fraud
B. gather evidence
C. require restitution for the victims of a scam
D. The Administrator of a state has the authority to take all of the above actions.

Question 2

MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf.
B. Neither MoeMoney nor its clients need do anything.
C. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.
D. MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado.

Question 3

Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA)?

A. TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
B. Freedom broker-dealers executes the purchase and sale of securities for its customers.
C. Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client
forms that contain confidential information, and directing calls to registered representatives of the firm.
D. None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA.)

Question 4

Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?

A. Fly-By-Night is required to shred all documentation of client transactions and communications.
B. Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years.
C. Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
D. Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years.

Question 5

Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A. No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
B. Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
C. No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.
D. Yes. Agents are not permitted to include a picture of themselves on their business cards.

Solutions: