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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

2. Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line.
Don can enter a commission-splitting agreement with

A) Dewey only
B) Huey only
C) Either Huey, Dewey, or Louie or any combination of the three
D) either Huey or Dewey or both

3. Which of the following securities would not necessarily be exempt from state registration?

A) a stock listed as a NASDAQ National Market Issue.
B) a bond issued by another state's employees' credit union
C) a bond guaranteed by the Canadian government
D) a stock listed on the Tokyo Stock Exchange

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

5. Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?

A) No. Carrie is just donating some of her commissions back to the church, and transactions with
B) It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
C) Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
D) It depends. As long as the church parishioners are aware of the arrangement between Carrie and

Solutions: