FINRA Series_63 : 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. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

2. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser
representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) January 15th of the new year.
B) December 31st of this year.
C) January 30th of the new year.
D) the anniversary date of the original issue date on your license.

3. BigCash Broker-Dealers is registered in the state and is in the process of purchasing a smaller
broker-dealer, Target Investments, as a subsidiary. Target Investments is also registered in the state.
After completing the purchase, what actions must BigCash take regarding registration of its new
subsidiary?

A) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.
B) BigCash must file a new application with the state to register its new subsidiary, but will be able to
utilize the remainder of any annual filing fees that Target Investments had paid for the year.
C) BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.
D) BigCash must file a new application with the state to register its new subsidiary and must also pay the
annual filing fees required by the Administrator.

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In
the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will
be 15%. Although the actual offering price won't be set until Newbie's registration statement is approved
by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that
the stock will initially be listed on the OTC Bulletin Board. What methods for state registration does
Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Newbie may elect to register by any one of the above methods although registration by qualification
would be the most burdensome choice.
B) Method II only
C) Methods I and III only
D) Method I only

5. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?

A) No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent."
B) Yes. Agents are not permitted to include a picture of themselves on their business cards.
C) Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
D) No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards.

Solutions: