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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) provide the client with a written response to the complaint.
B) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.
D) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.

2. Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A) 30 days.
B) 90 days.
C) one year.
D) 60 days.

3. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) No. This is a prohibited activity referred to as "painting the tape."
B) Both B and C are true statements.
C) Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
D) No. It is unethical for him to trade based on this information before the firm's clients have received the
information.

4. An investment adviser representative with Capital Investment Advisors, Inc. advised his client to invest
$ 5,000 in bonds of a firm that the adviser claimed was an investment "almost as risk-free as investing in
U.S. government bonds; maybe even more so, given the magnitude of the government deficit these
days." The client paid a total of $200 for this advice. The bonds paid interest at the rate of 6%, with
semiannual payments, and the client received $300 in interest payments before the firm went belly-up at
the end of a year, and its bonds were deemed worthless. The client has filed suit, and its attorneys' fees
and court costs are expected to be $1,000. When the investment is a bond, the state has recently been
assessing an interest rate equal to the interest rate paid by the security as an equitable interest payment
guideline in civil penalties. The maximum the client can expect in civil penalties is

A) $5,900.
B) $6,200.
C) $5,200.
D) $6,000.

5. Which of the following statements best explains the difference between an agent and a broker-dealer?

A) A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents.
B) Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts.
C) Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
D) An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities.

Solutions: