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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Registration by coordination is provided for by which of the following federal securities acts?

A) Securities Act of 1933
B) Investment Advisers Act of 1940
C) Investment Company Act of 1940
D) Securities and Exchange Act of 1934

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

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

3. Which of the following orders can an Administrator issue without providing prior notice?

A) cease and desist
B) license suspension
C) license revocation
D) license denial

4. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) issuer.
B) agent.
C) broker-dealer.
D) none of the above.

5. A "market not held" order is

A) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price.
B) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer.
C) an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price.
D) an order to buy or sell a stock at a specified price, which differs from the current market price.

Solutions: