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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?

A. Maybe. But it will require written consent from both your brother and your firm.
B. Yes. This is permitted since the agreement is between you and a family member.
C. Yes, as long as your brother provides your firm with his written consent.

Question 2

As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC) can you legitimately make to your client?

A. "The SIPC is a government agency created by an Act of Congress to combat fraud."
B. The SIPC is the FDIC of the stock and bond markets."
C. "The SIPC was established to restore funds to investors when the brokerage firm they have been using is bankrupt or in financial distress."
D. "The SIPC is a government agency that was created by an Act of Congress to protect investors against losses in the stock and bond market."

Question 3

Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?

A. the state administrator
B. SEC
C. NASAA
D. FINRA

Question 4

Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within

A. 14 business days.
B. 45 days.
C. 10 business days.
D. 30 days.

Question 5

Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect & Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the Administrator of Massachusetts for registration as an agent.
Can Trevor execute purchases and sales for clients while his registration is still pending?

A. No. Until he is informed by the Administrator of Massachusetts that his application has been accepted, Trevor may not affect any securities transactions in Massachusetts.
B. Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is registered in the state of Massachusetts, he is not restricted from executing trades.
C. It depends. Trevor can execute some purchases and sales, but only for clients that he already had who may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
D. Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration is pending.

Solutions: