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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

2. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless

A) the broker-dealer already has a margin agreement signed by the client in hand.
B) the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction.
C) the client has a net worth of at least $500,000.
D) the client has been a customer of the firm for at least 6 months.

3. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) The issuer must have preferred stockholders as well as common stockholders.
B) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
C) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
D) The issuer must never have defaulted on any bond or long-term lease obligation.

4. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with
VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a
conversation by some of the firm's executives that indicated that VideoMagic was about to take over
another software company. Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic,
and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the
information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average,
the stock price of target firms increases.

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

5. Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,

A) Needy is in violation of securities laws by acting as an issuer of securities.
B) Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.
C) Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
D) Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.

Solutions: