FINRA Uniform Securities Agent State Law Examination : Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements is false?

A) The minimum net capital requirement for investment advisers that take custody of their clients' assets
is higher than the net capital requirement for advisers who do not take custody of the assets.
B) None of the above statements is false; all are true statements.
C) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
D) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.

2. Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants
Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this
particular fund to effect purchases or sales of the fund shares. Can Noah execute the order anyway?

A) No. This is a prohibited practice known as front running.
B) No. This would be considered money laundering, which is highly illegal.
C) Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
D) No. This is a prohibited practice known as selling away.

3. Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?

A) Yes. The agent who executes your purchase order has engaged in illegal insider trading.
B) Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
C) No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
D) Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available.

4. If a person has had its license revoked by the Administrator of the state and has appealed the decision to
a court of law, that person

A) must notify the Administrator of the state that it has appealed the decision.
B) can continue business as usual pending the resolution of the appeal.
C) Both B and C are true statements.
D) is considered to have a revoked license until the courts rule otherwise.

5. You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay

A) the full annual fee, and your license will expire on December 31st this year.
B) one-fourth of the annual fee required since only one quarter of the year remains.
C) the full annual fee, and your license will expire on December 31st next year.
D) the full annual fee, and your license will expire on September 30th next year.

Solutions: