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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. For how long after the effective date is a security's registration valid?

A) one year
B) two years
C) three months
D) six months

2. 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

3. The state official who has regulatory authority over the securities industry within the state is known as the

A) administrator.
B) investor-protection officer.
C) secretary of state.
D) attorney-general.

4. Julia Hasty has recently applied with the Administrator to be a registered investment adviser in the state.
Eager to open her new business, she has business cards printed that indicate that she is a
"state-registered" investment adviser and visits some local businesses, asking them for permission to put
some of her cards in their waiting rooms. Has Julia violated any of the provisions of the Uniform Securities
Act by distributing her business cards?

A) Yes. Julia is not permitted to advertise as a "state-registered" investment adviser until she receives
notification of the acceptance of her application by the state Administrator.
B) No. The provisions of the Uniform Securities Act relate to securities, not people.
C) No. Julia has merely put her business cards in waiting rooms. She has not opened her business to
clients yet.
D) No. As long as her application has been submitted and is pending acceptance, Julia has not violated
any provisions of the Uniform Securities Act.

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

Solutions: