FINRA Series63 : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

No: 192
The maximum monetary civil liability that a person who has violated a securities law can be expected to pay is

A. the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on the investment.
B. the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any income the victim has received on the investment.
C. the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees - any income the victim has received on the investment.
D. the original investment + a state-deemed appropriate interest rate + court costs and reasonable attorneys' fees + any state-determined "pain and suffering" award.

Question 2

Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?

A. a margin agreement if the purchase is being made on margin
B. a hypothecation agreement
C. a preliminary prospectus
D. a final prospectus

Question 3

It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

A. I, II, and III
B. I, III, and IV
C. I, II, III, and IV
D. I, II, and IV

Question 4

An investment adviser may not

A. recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
B. also be registered as a broker-dealer in the state.
C. take a position-either long or short-in securities in which any of its clients have a position.
D. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.

Question 5

Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it started to fall during the day and credited the client's account with $131 per share when stock dropped further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of the shares for its own portfolio and sells the remainder to the public.

A. I, II, and III
B. I only
C. I and III only
D. I and II only

Solutions: