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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The Uniform Securities Act (USA) is

A) a set of guidelines for individual states to follow when formulating their own securities' laws.
B) federal legislation that requires all states to adopt the same registration requirements for all
C) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
D) a body of laws governing the purchase and sale of securities within a single state.

2. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
B) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.
C) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
D) Yes. The agent who executes your purchase order has engaged in illegal insider trading.

3. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $6,000.
B) $6,200.
C) $5,900.
D) $5,200.

4. S. White and Associates is an investment adviser registered in the state of Kentucky and, as such, is
meeting Kentucky's minimum net capital requirement for investment advisers. The firm recently registered
with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital
requirement for its investment advisers. Which of the following statements is true?

A) According to the Investment Advisers Act of 1940, S. White needs only to meet the net capital
requirement of Kentucky.
B) According to the Securities Exchange Act of 1934, S. White needs to meet at least the minimum net
capital requirement specified by that Act since it is now operating in multiple states.
C) According to the Uniform Securities Act, S. White will have to meet Virginia's higher requirement.
D) According to the Investment Advisers Act of 1940, S. White will have to maintain a minimum net capital
equal to the average of the net capital requirements of the two states.

5. Which of the following would not appear on an order ticket?

A) the agent's commission
B) the account number of the client buying or selling the security
C) the settlement date
D) the stock symbol

Solutions: