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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) Ms. Swyne must forward the complaint to the state Administrator.
B) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
C) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
D) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.

2. Which of the following statements regarding "registration by qualification" is true?

A) Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA
rating, are exempt from registration with the state.
B) In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of
information about both the firm and its directors, officers, and major shareholders.
C) Registration by qualification is the preferred method used by issuers since it requires the least amount
of paperwork.
D) Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements.

3. Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A) Both Skip and Venus
B) Skip only
C) Skip, Mars, and Venus
D) Skip and either Mars or Venus, but not both

4. An agent working for a broker-dealer mistakenly sends an investment adviser some bonds that the
adviser purchased on behalf of his client instead of directing the bonds to the financial institution that is
serving as the qualified custodian of the client's funds. If the investment adviser wants to avoid being
considered custodian of this client's account, what must the adviser do?

A) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to the qualified custodian of the client's funds.
B) Record what securities were sent, when he received them, and when he forwarded them--which must
be within three business days-to his client.
C) Record what securities were sent, when he received them, and when he forwarded them--which
D) Record what securities were sent, when he received them, and when he forwarded them--which must
be within twenty-four hours-to his client.

5. Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?

A) No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.
B) Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information.
C) No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.
D) Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies.

Solutions: