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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

Which of the following would not be found in a tombstone advertisement?

A. the names of the underwriters
B. the interest rate and time to maturity of a bond issue
C. the name of the issuer
D. the price at which the security will be offered

Question 2

Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the Administrator finds that Nebulous had been engaged in fraudulent securities transactions.
Which of the following statements is true?

A. The Administrator has five years from the discovery of the misdeed to take disciplinary action, so Nebulous will have to be on the lookout for a long time to come.
B. The Administrator is only able to take disciplinary action if the misdeeds are discovered within three months of the effective date of the withdrawal, so Nebulous slipped by this time.
C. The Administrator is unable to take disciplinary action against Nebulous because the self-initiated withdrawal became effective 30 days after the application was filed.
D. The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in trouble.

Question 3

Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on Craig's List.
Do these "packages" meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?

A. If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
B. Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.
C. Statements A and B are both true statements.
D. The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.

Question 4

Blue Sky Laws are designed to:

A. favor investment in companies that engage in environmentally friendly practices.
B. protect agents, broker-dealers, and investment advisers and their representatives from spurious allegations of fraudulent activity.
C. enhance the tourism industry within a state.
D. protect investors from fraud in their securities market transactions.

Question 5

Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?

A. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
B. Yes. Ken is guilty of the prohibited practice of "tailgating."
C. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
D. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.

Solutions: