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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on

A) Tuesday, August 10th.
B) Monday, August 16th.
C) Wednesday, August 11th.
D) Friday, August 13th.

2. Registration by coordination is provided for by which of the following federal securities acts?

A) Securities and Exchange Act of 1934
B) Investment Company Act of 1940
C) Securities Act of 1933
D) Investment Advisers Act of 1940

3. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
C) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
D) Neither MoeMoney nor its clients need do anything.

4. Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,

A) there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
B) the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties.
C) the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him.
D) the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.

5. The settlement date refers to

A) the date the buyer must pay for the securities purchased.
B) the date the order to purchase or sell the security is sent to the market.
C) the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.
D) the date the order to purchase or sell a security is actually executed. This may differ from the date that
the order is sent to the market in the cases of limit or stop orders.

Solutions: