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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 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.
B) BigCash will need to pay the annual filing fees required by the Administrator, but will not need to file a
new registration application.
C) 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.
D) BigCash need do nothing since Target Investments was already duly registered with the state as a
broker-dealer.

2. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the
order ticket will be

A) Thursday, September 23rd.
B) Tuesday, September 28th.
C) Monday, September 27th.
D) Friday, September 24th.

3. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?

A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
B) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
C) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
D) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.

4. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) before the end of the month.
B) within a week's time.
C) by the close of business on the next business day.
D) before the beginning of the next quarter.

5. An investment adviser or its representative may

A) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B) exercise discretionary power in the purchase or sale of securities for a client's account as long as
C) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
D) exercise discretionary power in the purchase or sale of securities for a client's account only after

Solutions: