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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A margin transaction refers to a transaction

A) in which the client borrows some of the money that he is investing.
B) Both A and C are true statements.
C) in which a registered agent makes trades on a customer's account without that customer's knowledge.
D) that is illegal under the guidelines of the Uniform Securities Act.

2. An investment adviser may not

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

3. Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:

A) immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
B) immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period.
C) only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
D) only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.

4. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high. She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place today because she believes Google's price is just going to keep rising with only the occasional daily ups and downs. She wants you to use your discretion and try to get her the best price for the stock in today's trading session.
Which of the following statements are true?

A) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the mail before she boards the plane. As long as the written authorization is in the mail, you can place the order.
B) You tell her you can enter it for her as a "market not held" order.
C) You tell her that you can do this for her, but only if you execute it as a margin transaction.
D) You have to tell her that you can't do this without a signed discretionary authorization from her, and there's none on file.

5. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either before or after executing a client's trade on the same commodity, depending on which will be most advantageous.
Under the Uniform Securities Act, the broker-dealer is guilty of

A) fraud.
B) churning.
C) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.
D) unauthorized transactions.

Solutions: