FINRA Series_63 Exam Questions : Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Once a broker-dealer has applied for and been granted state registration, the registration remains valid

A) for five years.
B) for twelve months.
C) for three years.
D) until December 31st.

2. In which of the following scenarios is an investment adviser representative required to disclose the fact
that someone other than the representative performed the research on which his advice to the client is
based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy
of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research
provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in
return for trades that the investment adviser executes using the services of the broker-dealer, as well as a
couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a
recommendation for the asset allocation of the client's investment monies that the adviser deemed was
sound and, therefore, recommended it to his client.

A) I and III only
B) III only
C) II only
D) I only

3. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five 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 two years after the discovery of the facts and four years after the violation.

4. In order to maintain its registration with a state, a broker-dealer may be required to
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

A) I, II, III, and IV
B) II, III, and IV only
C) II and III only
D) I and II only

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

Solutions: